Alberto Roditi

NEW RIVER INVESTMENTS

Ft Lauderdale, FL 33312

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CRD#: 4409558

Professional summary

Alberto Roditi is a registered financial advisor currently at NEW RIVER INVESTMENTS located in Ft Lauderdale, Florida.

Alberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Alberto has worked at 3 firms and has passed the Series 65, Series 63, Series 3 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.

I am a Registered Investment Advisor Representative at New River Investments Inc. I receive no commissions from this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alberto Roditi'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

September 7, 2011 - Present

NEW RIVER INVESTMENTS

Office #1: 610 W Las Olas Blvd, Apt 715-n, Ft Lauderdale, FL 33312

RIA

CRD#: 157173

Ft Lauderdale, FL

Past

September 7, 2006 - August 17, 2011

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

FORT LAUDERDALE, FL

Past

September 5, 2006 - August 17, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

FORT LAUDERDALE, FL

Past

June 27, 2001 - September 14, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PLANTATION, FL

Past

June 22, 2001 - September 14, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PLANTATION, FL

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
(8/18/2014)

IAR

Florida
(9/7/2011)

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

IAR

Series 65

Date: 7/12/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/21/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/21/2001

General Securities Representative Examination

Current Firm

NEW RIVER INVESTMENTS

NEW RIVER INVESTMENTS | RODITI, RODITI & DESROCHER LLC | NEW RIVER INVESTMENTS LLC | NEW RIVER INVESTMENTS INC.

CRD#: 157173 / SEC#: 801-72261

RIA

Registered Investment Advisory firm - (6/21/2011 Terminated)

California

Registered Investment Advisory firm - (8/18/2014 Approved)

Florida

Registered Investment Advisory firm - (6/20/2011 Approved)

Georgia

Registered Investment Advisory firm - (11/13/2012 Approved)

Louisiana

Registered Investment Advisory firm - (6/7/2021 Approved)

New York

Registered Investment Advisory firm - (10/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (10/8/2015 Approved)

Texas

Registered Investment Advisory firm - (4/23/2018 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Los Angeles, CA

Mailing Address

Phone number

(954) 333-8803

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	85
AUM (Assets Under Management)	$ 46,032,657

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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Alberto Roditi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alberto Roditi's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEW RIVER INVESTMENTS

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2001

Series 63

Date: 6/28/2001

Series 3

Date: 4/21/2003

Series 7

Date: 6/21/2001

Current Firm

NEW RIVER INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW RIVER INVESTMENTS

TRUST BUT VERIFY

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