Richard Michael Rosso
CFP®, CIMA®Professional Summary
Richard Michael Rosso, CFP®, CIMA® is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Credentials
Years of Experience
37 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
ADVANCED WEALTH STRATEGIES GROUP | SIMPLEVISOR | RIA ADVISORS | NTBD ADVISORS, LLC | CLARITY FINANCIAL, LLC | ANIMAS CAPITAL
Contact Information
Main Address
11750 Katy Freeway Suite 840, Houston, TX 77079Phone Number
(281) 501-1791# of Employees
17SEC notice filing (38 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,969AUM (Assets Under Management)
$1,840,574,021Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
ADVANCED WEALTH STRATEGIES GROUP | SIMPLEVISOR | RIA ADVISORS | NTBD ADVISORS, LLC | CLARITY FINANCIAL, LLC | ANIMAS CAPITAL
State Registrations and Notice Filings
(11/19/2012)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jun 1997Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Michael Rosso's CRS (Customer Relationship Summary).
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