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PR

Paul R. Rossi

ROSSI FINANCIAL GROUP
El Dorado Hills, CA 95762
Some features on this profile are disabled
CRD#: 2921763
PR

Professional summary

Paul Richard Rossi, CFA is a registered financial advisor currently at ROSSI FINANCIAL GROUP located in El Dorado Hills, California.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Paul has worked at 2 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

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.
2009-PRESENT: REAL ESTATE BROKER/NOT INVESTMENT RELATED/EL DORADO HILLS, CA/BROKER/CA DEPT OF REAL ESTATE LICENSE #01849220/INVOLVES LESS THAN 1% OF TIME

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Richard Rossi'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®
CFA

Chartered Financial Analyst

Experience

Current

May 11, 2012 - Present

ROSSI FINANCIAL GROUP

Office #1: 1212 Suncast Lane #1, El Dorado Hills, CA 95762
RIA
CRD#: 164096
El Dorado Hills, CA
Past

September 23, 1998 - November 18, 1999

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ

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
California
(5/11/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/1998
General Securities Representative Examination

Current Firm

RF
ROSSI FINANCIAL GROUP
BLACKROCK FINANCIAL GROUP | ROSSI, PAUL RICHARD | ROSSI FINANCIAL GROUP

CRD#: 164096 / SEC#:

California
Registered Investment Advisory firm - (5/10/2012 Approved)
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Contact information

Main Address
1212 Suncast Lane #1, El Dorado Hills, CA 95762
Mailing Address
Phone number
(916) 730-6366
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts131
AUM (Assets Under Management)$ 36,200,000

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

ROSSI FINANCIAL GROUP

CRD#: 164096El Dorado Hills, CA 95762

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