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LW

Lori B. Wasserman

ROSE & CO. CAPITAL ADVISORS
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2297884
LW

Professional summary

Lori Beth Wasserman is a registered financial professional currently at ROSE & CO. CAPITAL ADVISORS, LLC located in New York, New York.

Lori is registered as a RR (Registered Representative) and started their career in finance in 1992. Lori has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lori Beth Wasserman's 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

March 9, 2021 - Present

ROSE & CO. CAPITAL ADVISORS, LLC

Office #1: 445 Park Avenue Suite 700, New York, NY 10022
BD
CRD#: 168274
NEW YORK, NY
Past

January 2, 2020 - March 30, 2020

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY
Past

November 21, 2017 - October 31, 2019

TELLSON SECURITIES

BD
CRD#: 286665
New York, NY
Past

December 18, 2014 - February 27, 2015

BUCKLEY & YOUNG, LLC

BD
CRD#: 139690
RYE, NY
Past

October 18, 2010 - November 8, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

October 1, 2008 - October 14, 2010

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 2, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

July 1, 2003 - June 2, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 17, 1998 - June 3, 2003

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 5, 1992 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

November 5, 1992 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

November 5, 1992 - June 19, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/19/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/25/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

R&
ROSE & CO. CAPITAL ADVISORS, LLC
ROSE & CO. CAPITAL ADVISORS, LLC

CRD#: 168274 / SEC#: , 8-69298

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
445 Park Avenue Suite 700, New York, NY 10022
Mailing Address
445 Park Avenue Suite 700, New York, NY 10022
Phone number
(212) 359-2230
Established
Delaware since 06/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ROSE, SIMON ALEXANDERCHIEF EXECUTIVE OFFICER2176436
BRINBERG, ROBERTCHIEF OPERATING OFFICER4937479
BENDER, STEVEN CHRISTOPHERFINOP2650187
IGNALL, EVAN TODDCHIEF COMPLIANCE OFFICER2039007

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.

Company Information

ROSE & CO. CAPITAL ADVISORS, LLC

CRD#: 168274New York, NY 10022

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