RC
Rory P. Collins
GOTHAM ASSET MANAGEMENT
New York, NY 10022-9525
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CRD#: 2937057
RC
Professional summary
Rory Patrick Collins, CFP®, who also goes by Rory P Collins, Rory Collins, is a registered financial advisor currently at GOTHAM ASSET MANAGEMENT, LLC located in New York, New York and FORESIDE FUNDS DISTRIBUTORS LLC located in New York, New York.
Rory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Rory has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rory P Collins | Rory Collins
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) GOTHAM ASSET MANAGEMENT LLC, NY, NY, INVESTMENT RELATED, INVESTMENT ADVISOR TO PRIVATE FUNDS, MUTAL FUNDS & SMAS, START DATE 1/2009, DIRECTOR OF COMPLIANCE, 200+ HOURS PERMONTH WITH 130 HOURS DURING TRADING. 2) Rental Property; Non-Investment Related; Weehawken, NJ; Rental Property; Owner; 1/18 Start Date; 0 hours per month, 0 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Rory Patrick Collins'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®
Experience
Current
March 20, 2009 - Present
GOTHAM ASSET MANAGEMENT, LLC
Office #1: 825 Third Avenue Suite 1750, New York, NY 10022-9525RIA
CRD#: 149335
New York, NY
Current
December 16, 2013 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 825 Third Avenue, Suite 1750, New York, NY 10022BD
CRD#: 31334
New York, NY
Past
April 5, 2007 - November 5, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
NEW YORK, NY
Past
April 5, 2007 - November 5, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
NEW YORK, NY
Past
July 20, 2005 - March 15, 2007
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
NEW YORK, NY
Past
July 18, 2003 - March 15, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NEW YORK, NY
Past
September 16, 1997 - July 8, 2003
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
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".
GA
GOTHAM ASSET MANAGEMENT, LLC
FORMULA INVESTING | GOTHAM ASSET MANAGEMENT, LLC | FORMULA TRADING, LLC | FORMULA INVESTING, LLC
CRD#: 149335 / SEC#: 801-69960
RIA
Registered Investment Advisory firm - (3/9/2009 Approved)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.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
Alabama(2/24/2014)
RR
Alaska(2/21/2014)
RR
Arizona(2/27/2014)
RR
Arkansas(2/25/2014)
RR
California(1/9/2014)
RR
Colorado(1/9/2014)
RR
Connecticut(1/8/2014)
RR
Delaware(1/17/2014)
RR
District of Columbia(2/26/2014)
RR
Florida(1/13/2014)
RR
Georgia(1/8/2014)
RR
Hawaii(3/3/2014)
RR
Idaho(1/8/2014)
RR
Illinois(1/10/2014)
RR
Indiana(2/24/2014)
RR
Iowa(3/3/2014)
RR
Kansas(1/22/2014)
RR
Kentucky(1/31/2014)
RR
Louisiana(2/27/2014)
RR
Maine(1/8/2014)
RR
Maryland(1/14/2014)
RR
Massachusetts(1/9/2014)
RR
Michigan(1/9/2014)
RR
Minnesota(2/18/2014)
RR
Mississippi(2/28/2014)
RR
Missouri(1/16/2014)
RR
Montana(1/8/2014)
RR
Nebraska(1/2/2015)
RR
Nevada(2/27/2014)
RR
New Hampshire(1/10/2014)
RR
New Jersey(2/21/2014)
IAR
New Jersey(2/2/2016)
RR
New Mexico(2/26/2014)
RR
New York(1/8/2014)
RR
North Carolina(1/14/2014)
RR
North Dakota(1/9/2014)
RR
Ohio(1/8/2014)
RR
Oklahoma(2/24/2014)
RR
Oregon(3/3/2014)
RR
Pennsylvania(1/8/2014)
RR
Puerto Rico(1/21/2014)
RR
Rhode Island(1/8/2014)
RR
South Carolina(2/27/2014)
RR
South Dakota(2/21/2014)
RR
Tennessee(1/14/2014)
IAR
Texas(3/20/2009)
RR
Texas(1/16/2014)
RR
Utah(1/9/2014)
RR
Vermont(2/28/2014)
RR
Virgin Islands(2/24/2014)
RR
Virginia(1/8/2014)
RR
Washington(1/31/2014)
RR
West Virginia(2/24/2014)
RR
Wisconsin(2/21/2014)
RR
Wyoming(3/3/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GA
GOTHAM ASSET MANAGEMENT, LLC
FORMULA INVESTING | GOTHAM ASSET MANAGEMENT, LLC | FORMULA TRADING, LLC | FORMULA INVESTING, LLC
CRD#: 149335 / SEC#: 801-69960
RIA
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Contact information
Main Address
825 Third Avenue Suite 1750, New York, NY 10022-9525
Mailing Address
Phone number
(212) 319-4100
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122 |
| AUM (Assets Under Management) | $ 12,125,094,734 |
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.
