Brian Albert Rathjen
Professional Summary
Brian Albert Rathjen is a registered financial advisor currently at WARDROOM PARTNERS located in Stamford, Connecticut and KELSON CAPITAL LLC located in Stamford, Connecticut. Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 3, Series 7 and Series 24...
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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
KELSON ASSET MANAGEMENT LLC | WARDROOM PARTNERS LLC | WARDROOM PARTNERS
Contact Information
Main Address
Stamford, CTPhone Number
(917) 691-8007# of Employees
4SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
25AUM (Assets Under Management)
$205,593,070Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/29/2024 | Cover Page | Report |
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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
KELSON ASSET MANAGEMENT LLC | WARDROOM PARTNERS LLC | WARDROOM PARTNERS
State Registrations and Notice Filings
(7/20/2017)
(5/18/2015)
(1/11/2011)
(1/11/2011)
(8/2/2022)
(1/11/2011)
(7/20/2017)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Brian Albert Rathjen's CRS (Customer Relationship Summary).
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