Richard S. Derose

EMPIRICAL RESEARCH PARTNERS LLC

New York, NY 10017

Some features on this profile are disabled

CRD#: 4297260

Professional summary

Richard Samuel Derose, who also goes by Richard S Derose, is a registered financial advisor currently at EMPIRICAL RESEARCH PARTNERS LLC located in New York, New York.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Richard has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard S Derose

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 Richard Samuel Derose's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Samuel Derose'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®

None

Experience

Current

August 23, 2023 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 565 Fifth Avenue 25th Floor, New York, NY 10017

RIA

CRD#: 123520

New York, NY

Current

December 19, 2012 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 565 Fifth Avenue 25th Floor, New York, NY 10017

RIA

CRD#: 123520

New York, NY

Past

December 8, 2010 - October 26, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

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.

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

New York
(12/19/2012)

IAR

New York
(8/23/2023)

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

State Security Law Exam

Series 63

Date: 11/29/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EMPIRICAL RESEARCH PARTNERS LLC

CRD#: 123520 / SEC#: , 8-65590

New York

Registered Investment Advisory firm - SEC (8/23/2023 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

551 Fifth Avenue Suite 1800, New York`, NY 10176

Mailing Address

551 Fifth Avenue Suite 1800, New York, NY 10176

Phone number

(212) 803-8000

Established

Delaware since 06/25/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
GOLDSTEIN, MICHAEL LEWIS	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	1661076
SCHILLING, MICHAEL JAMES	FINOP	2609624

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard S. Derose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Samuel Derose's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Samuel Derose's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRICAL RESEARCH PARTNERS LLC

EMPIRICAL RESEARCH PARTNERS LLC

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/29/2010

SIE

Date: 10/1/2018

Series 7

Date: 12/7/2010

FINRA

Current Firm

EMPIRICAL RESEARCH PARTNERS LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EMPIRICAL RESEARCH PARTNERS LLC

TRUST BUT VERIFY

Similar Advisors