AR
Arnold H. Rozany
BENJAMIN F. EDWARDS & COMPANY
Delray Beach, FL
Some features on this profile are disabled
CRD#: 403183
AR
Professional summary
Arnold Harry Rozany, who also goes by Arnold Harry Rolany, is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in Delray Beach, Florida.
Arnold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Arnold has worked at 5 firms and has passed the Series 63, SIE, Series 5, PC, Series 7, Series 1, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arnold Harry Rolany
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. ATTORNEY IN FACT FOR SON, INVESTMENT RELATED, DANBURY, CT, STARTED 08/13/2015, 15 HOURS PER MONTH, 3 DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Arnold Harry Rozany's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arnold Harry Rozany'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®
NoneExperience
Current
November 12, 2010 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #2: One Reserve Road, Danbury, CT 06810RIA
BD
CRD#: 146936
Delray Beach, FL
Current
November 12, 2010 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: One Reserve Road, Danbury, CT 06810RIA
BD
CRD#: 146936
Danbury, CT
Past
January 1, 2008 - November 15, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DANBURY, CT
Past
January 1, 2008 - November 15, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DANBURY, CT
Past
October 14, 1986 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
DANBURY, CT
Past
June 24, 1985 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
DANBURY, CT
Past
October 31, 1980 - July 15, 1985
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
June 11, 1974 - June 7, 1978
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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".
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Alaska(1/2/2015)
RR
Arizona(1/11/2018)
RR
California(11/12/2010)
IAR
California(1/3/2011)
RR
Colorado(3/19/2018)
RR
Connecticut(11/12/2010)
IAR
Connecticut(11/12/2010)
RR
Delaware(10/5/2017)
RR
Florida(11/12/2010)
IAR
Florida(1/4/2011)
RR
Georgia(9/6/2013)
RR
Idaho(1/25/2022)
RR
Illinois(11/12/2010)
RR
Maryland(11/12/2010)
RR
Massachusetts(11/12/2010)
RR
Michigan(1/27/2011)
RR
New Hampshire(11/12/2010)
IAR
New Hampshire(1/20/2011)
RR
New Jersey(11/12/2010)
IAR
New Jersey(3/29/2011)
RR
New York(11/12/2010)
RR
North Carolina(11/12/2010)
RR
Oregon(1/3/2011)
RR
Pennsylvania(1/10/2018)
RR
Rhode Island(1/12/2018)
RR
South Carolina(6/24/2011)
RR
Tennessee(11/12/2010)
RR
Texas(11/12/2010)
IAR
Texas(2/23/2011)
RR
Vermont(1/12/2018)
RR
Virginia(11/12/2010)
RR
Washington(11/12/2010)
RR
Wisconsin(3/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/2/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 11/14/1980
AMEX Put and Call ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/5/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/20/1986
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Brentwood Blvd, Suite 850 Suite 850, St. Louis, MO 63105
Mailing Address
One North Brentwood Blvd, Suite 850, St. Louis, MO 63105
Phone number
(314) 726-1600
Established
Missouri since 08/19/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
736
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
