Richard A. Rosselot
Professional summary
Richard Andrew Rosselot, who also goes by Andy Rosselot, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 14 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Andrew Rosselot's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 22, 2017 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262June 30, 2016 - July 8, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
February 9, 2015 - June 7, 2016
MSI FINANCIAL SERVICES, INC.
January 6, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
December 10, 2013 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
October 5, 2011 - August 22, 2013
THE HUNTINGTON INVESTMENT COMPANY
October 5, 2011 - August 22, 2013
THE HUNTINGTON INVESTMENT COMPANY
April 3, 2009 - June 7, 2010
MANNING & NAPIER ADVISORS, LLC
April 2, 2009 - June 7, 2010
MANNING & NAPIER INVESTOR SERVICES, INC.
September 16, 2004 - March 11, 2009
NATCITY INVESTMENTS, INC.
September 15, 2004 - March 11, 2009
NATCITY INVESTMENTS, INC.
August 24, 2000 - February 6, 2004
TRANSAMERICA INVESTORS SECURITIES, LLC
March 27, 1999 - August 29, 2000
FIFTH THIRD SECURITIES, INC.
January 5, 1998 - March 27, 1999
FIFTH THIRD SECURITIES, INC.
September 10, 1993 - January 4, 1996
FEDERATED SECURITIES CORP.
August 5, 1993 - August 23, 1993
J. GREGORY & COMPANY, INC.
January 5, 1993 - July 22, 1993
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/17/2024)
(3/22/2017)
(3/22/2017)
(3/22/2017)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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