Ari M. Rosenbaum

O'SHAUGHNESSY ASSET MANAGEMENT

STAMFORD, CT 06902

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CRD#: 2994350

Professional summary

Ari Mark Rosenbaum is a registered financial advisor currently at O'SHAUGHNESSY ASSET MANAGEMENT, LLC located in Stamford, Connecticut.

Ari is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Ari has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ari Mark Rosenbaum'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®

None

Experience

Current

November 21, 2007 - Present

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902

RIA

CRD#: 144594

STAMFORD, CT

Past

February 18, 2011 - May 1, 2017

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

February 2, 2006 - July 11, 2007

BEAR STEARNS ASSET MANAGEMENT INC.

RIA

CRD#: 113359

NEW YORK, NY

Past

January 11, 2006 - July 11, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 12, 1998 - December 31, 2000

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

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".

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594 / SEC#: 801-68177

RIA

Registered Investment Advisory firm - (7/25/2007 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/21/2007)

IAR

Texas
(2/21/2008)

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

Series 63

Date: 3/15/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/30/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/17/2011

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 1/10/2006

General Securities Representative Examination

Current Firm

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594 / SEC#: 801-68177

RIA

Registered Investment Advisory firm - (7/25/2007 Approved)

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Contact information

Main Address

100 First Stamford Place, Stamford, CT 06902

Mailing Address

Phone number

(203) 975-3333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OSAM FORM ADV PART 2 (12-2024) FINAL (12/17/2024)

Regulatory assets under management

Total Number of Accounts	6,791
AUM (Assets Under Management)	$ 12,599,503,777

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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Firm Stability Insights

Ari M. Rosenbaum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ari Mark Rosenbaum's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

BEAR STEARNS ASSET MANAGEMENT INC.

J.P. MORGAN SECURITIES LLC

FIRST FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/2011

Series 66

Date: 1/30/2006

SIE

Date: 5/1/2017

Series 6

Date: 2/17/2011

Series 7

Date: 1/10/2006

Current Firm

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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