Richard K. Roscelli

CARDEA CAPITAL ADVISORS

ALPHARETTA, GA 30009

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CRD#: 2261940

Professional summary

Richard Kenneth Roscelli is a registered financial advisor currently at CARDEA CAPITAL ADVISORS, LLC located in Alpharetta, Georgia.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Richard has worked at 12 firms and has passed the Series 63, Series 66, Series 3, SIE, Series 7, Series 6 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

1) 1/2017 INSURANCE PRODUCER, BELPOINTE INSURANCE, LLC 125 GREENWICH AVENUE, GREENWICH CT 06830 INSURANCE PRODUCTS, APPROX 10 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Kenneth Roscelli's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 12, 2024 - Present

CARDEA CAPITAL ADVISORS, LLC

Office #1: 2520 Northwinds Parkway Suite 309, Alpharetta, GA 30009

RIA

CRD#: 307600

ALPHARETTA, GA

Past

July 11, 2022 - May 1, 2024

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Las Vegas, NV

Past

January 26, 2017 - July 8, 2022

BELPOINTE ASSET MANAGEMENT LLC

RIA

CRD#: 143440

Henderson, NV

Past

January 4, 2016 - June 8, 2016

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

LAS VEGAS, NV

Past

November 10, 2015 - June 8, 2016

NATIONAL SECURITIES CORPORATION

CRD#: 7569

LAS VEGAS, NV

Past

September 17, 2014 - November 13, 2015

CATHAY CONSULTANTS LTD.

RIA

CRD#: 168661

HENDERSON, NV

Past

December 9, 2013 - September 9, 2014

GREAT PACIFIC WEALTH MANAGEMENT

RIA

CRD#: 166110

GRANTS PASS, OR

Past

February 13, 2012 - May 7, 2012

ARGENTUS SECURITIES, LLC

CRD#: 45915

HENDERSON, NV

Past

December 22, 2011 - June 2, 2012

LANDMARK ADVISORS NEVADA

RIA

CRD#: 158910

HENDERSON, NV

Past

December 21, 2009 - October 6, 2010

VISION BROKERAGE SERVICES, LLC

CRD#: 47927

STAMFORD, CT

Past

August 17, 1992 - January 6, 1993

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Past

August 17, 1992 - January 6, 1993

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CARDEA CAPITAL ADVISORS, LLC

CRD#: 307600 / SEC#: 801-118445

RIA

Registered Investment Advisory firm - (4/17/2020 Approved)

Louisiana

Registered Investment Advisory firm - (8/11/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(2/12/2024)

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

State Security Law Exam

Series 63

Date: 4/5/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/22/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 4/11/2019

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 6/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/15/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 1/13/2009

NFA Branch Manager Examination

Current Firm

CARDEA CAPITAL ADVISORS, LLC

CRD#: 307600 / SEC#: 801-118445

RIA

Registered Investment Advisory firm - (4/17/2020 Approved)

Louisiana

Registered Investment Advisory firm - (8/11/2021 Terminated)

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Contact information

Main Address

2520 Northwinds Parkway Suite 309, Alpharetta, GA 30009

Mailing Address

Phone number

(770) 977-7779

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARDEA CAPITAL ADVISORS, LLC ADV PART 2 BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	374
AUM (Assets Under Management)	$ 105,752,926

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Richard K. Roscelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Kenneth Roscelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPOUND PLANNING, INC.

BELPOINTE ASSET MANAGEMENT LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

CATHAY CONSULTANTS LTD.

GREAT PACIFIC WEALTH MANAGEMENT

ARGENTUS SECURITIES, LLC

LANDMARK ADVISORS NEVADA

VISION BROKERAGE SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CARDEA CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/2016

Series 66

Date: 1/22/2010

Series 3

Date: 4/11/2019

SIE

Date: 6/8/2016

Series 7

Date: 11/10/2015

Series 6

Date: 8/15/1992

Series 30

Date: 1/13/2009

Current Firm

CARDEA CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARDEA CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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