Edward J. Rossi

OAK HARVEST INVESTMENT SERVICES

Houston, TX 77024

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CRD#: 2318022

Professional summary

Edward J Rossi, CFP®, who also goes by Ed J Rossi, Ed Rossi, Eddie J Rossi Jr, Eddie J Rossi, Edward J Rossi Jr, is a registered financial advisor currently at OAK HARVEST INVESTMENT SERVICES located in Houston, Texas.

Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Edward has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 53, Series 24, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ed J Rossi | Ed Rossi | Eddie J Rossi Jr | Eddie J Rossi | Edward J Rossi Jr

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. Oak Harvest Insurance Services; investment related: Yes; Location of the business: 920 Memorial City Way, Suite #150; Description of the business: Insurance Agency selling various insurance products including annuities and life insurance; Position Title: Insurance Agent; Responsibilities Duties: Recommending and selling insurance products including annuities and life insurance; Start date with business: 2020-01-27; Hours devoted to business during trading hours: 2; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 10.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward J Rossi'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

February 25, 2020 - Present

OAK HARVEST INVESTMENT SERVICES

Office #1: 920 Memorial City Way Suite 150, Houston, TX 77024

RIA

CRD#: 173293

Houston, TX

Past

February 18, 2020 - February 18, 2020

OAK HARVEST INVESTMENT SERVICES

RIA

CRD#: 173293

HOUSTON, TX

Past

July 17, 2019 - January 28, 2020

HARRISDIRECT LLC

RIA

CRD#: 42159

HOUSTON, TX

Past

July 17, 2019 - January 28, 2020

E*TRADE SECURITIES LLC

CRD#: 29106

HOUSTON, TX

Past

November 1, 2018 - July 16, 2019

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

HOUSTON, TX

Past

August 8, 2016 - November 1, 2018

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

HOUSTON, TX

Past

August 8, 2016 - October 31, 2018

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

HOUSTON, TX

Past

January 7, 2011 - August 15, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HOUSTON, TX

Past

January 3, 2011 - August 15, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

HOUSTON, TX

Past

January 25, 2008 - December 7, 2010

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

STERLING, VA

Past

January 25, 2008 - December 7, 2010

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

STERLING, VA

Past

November 15, 2007 - January 10, 2008

EDELMAN FINANCIAL

RIA

CRD#: 144494

FAIRFAX, VA

Past

March 1, 2004 - October 18, 2007

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

FAIRFAX, VA

Past

March 1, 2004 - October 18, 2007

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

FAIRFAX, VA

Past

April 21, 2003 - March 4, 2004

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

VIENNA, VA

Past

March 7, 2003 - March 4, 2004

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

December 2, 2002 - March 12, 2003

QUICK & REILLY, INC.

RIA

CRD#: 11217

SUGARLAND, TX

Past

July 27, 1993 - March 12, 2003

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

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".

OAK HARVEST INVESTMENT SERVICES

OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES

CRD#: 173293 / SEC#: 801-116667

RIA

Registered Investment Advisory firm - (5/22/2019 Approved)

Texas

Registered Investment Advisory firm - (6/3/2019 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

Texas
(2/25/2020)

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

IAR

Series 66

Date: 4/14/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/11/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/18/2010

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/26/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/8/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/5/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OAK HARVEST INVESTMENT SERVICES

OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES

CRD#: 173293 / SEC#: 801-116667

RIA

Registered Investment Advisory firm - (5/22/2019 Approved)

Texas

Registered Investment Advisory firm - (6/3/2019 Terminated)

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Contact information

Main Address

920 Memorial City Way Suite 150, Houston, TX 77024

Mailing Address

Phone number

(281) 822-1350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - OAK HARVEST INVESTMENT SERVICES (8/8/2025)

Regulatory assets under management

Total Number of Accounts	2,633
AUM (Assets Under Management)	$ 940,834,408

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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Advisor Monitoring

Firm Stability Insights

Edward J. Rossi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward J Rossi's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAK HARVEST INVESTMENT SERVICES

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL SERVICES, LLC

RETIREONE INVESTMENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

EDELMAN FINANCIAL

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

Primary Firm SEC Registration

OAK HARVEST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 4/14/2004

Series 65

Date: 11/11/1999

Series 63

Date: 8/2/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/26/1993

Series 53

Date: 11/18/2010

Series 24

Date: 9/26/2002

Series 4

Date: 2/8/1999

Series 8

Date: 6/5/1998

Current Firm

OAK HARVEST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK HARVEST INVESTMENT SERVICES

TRUST BUT VERIFY

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