Andrew T. Rosato

FIRST AVENUE

New York, NY 10017

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CRD#: 4599940

Professional summary

Andrew Thomas Rosato, who also goes by Andrew Rosato, is a registered financial professional currently at FIRST AVENUE located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2003. Andrew has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Rosato

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) - BD

Click below to view Andrew Thomas Rosato'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

April 21, 2025 - Present

FIRST AVENUE

Office #1: 461 Fifth Avenue 14th Floor, New York, NY 10017

CRD#: 145860

New York, NY

Past

May 30, 2024 - March 28, 2025

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

NEW YORK, NY

Past

July 27, 2020 - April 1, 2025

TRIAGO

CRD#: 143529

NEW YORK, NY

Past

September 11, 2019 - July 17, 2020

MVISION PRIVATE EQUITY ADVISERS USA LLC

CRD#: 122242

NEW YORK, NY

Past

March 29, 2018 - July 9, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ROWAYTON, CT

Past

March 16, 2015 - March 29, 2018

EATON PARTNERS, LLC

CRD#: 31170

ROWAYTON, CT

Past

July 11, 2012 - February 24, 2015

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

January 19, 2010 - March 29, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

November 19, 2003 - June 15, 2007

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 12, 2003 - September 2, 2003

NATIONAL BANK OF CANADA FINANCIAL INC.

CRD#: 22698

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(4/23/2025)

Alaska
(4/28/2025)

Arizona
(4/24/2025)

Arkansas
(5/5/2025)

California
(4/23/2025)

Colorado
(4/24/2025)

Connecticut
(4/23/2025)

Delaware
(4/24/2025)

District of Columbia
(4/24/2025)

Florida
(4/28/2025)

Georgia
(5/8/2025)

Hawaii
(4/24/2025)

Idaho
(4/23/2025)

Illinois
(4/25/2025)

Indiana
(5/1/2025)

Iowa
(4/21/2025)

Kansas
(4/23/2025)

Kentucky
(4/24/2025)

Louisiana
(4/23/2025)

Maine
(4/22/2025)

Maryland
(4/23/2025)

Massachusetts
(4/22/2025)

Michigan
(4/23/2025)

Minnesota
(4/24/2025)

Mississippi
(4/25/2025)

Missouri
(4/21/2025)

Montana
(4/25/2025)

Nebraska
(4/21/2025)

Nevada
(4/23/2025)

New Hampshire
(4/29/2025)

New Jersey
(4/25/2025)

New Mexico
(4/23/2025)

New York
(4/24/2025)

North Carolina
(4/24/2025)

North Dakota
(4/28/2025)

Ohio
(4/21/2025)

Oklahoma
(4/23/2025)

Oregon
(4/24/2025)

Pennsylvania
(4/23/2025)

Rhode Island
(4/25/2025)

South Carolina
(4/24/2025)

South Dakota
(4/23/2025)

Tennessee
(4/25/2025)

Texas
(4/21/2025)

Utah
(4/21/2025)

Vermont
(4/23/2025)

Virginia
(4/23/2025)

Washington
(4/24/2025)

West Virginia
(4/24/2025)

Wisconsin
(4/22/2025)

Wyoming
(4/22/2025)

Exams

State Security Law Exam

Series 63

Date: 5/27/2010

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: 2/10/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST AVENUE

FAP USA, L.P. | FIRST AVENUE

CRD#: 145860 / SEC#: , 8-67758

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

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Contact information

Main Address

461 Fifth Avenue 14th Floor, New York, NY 10017

Mailing Address

461 Fifth Avenue 14th Floor, New York, NY 10017

Phone number

(646) 582-5777

Established

Delaware since 02/14/2007

Firm type

Partnership

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FAP USA, L.L.C.	LIMITED PARTNER
BUCKLEY, PAUL DEREK	PARTNER, CEO	1822709
FAP GEN PAR, L.L.C.	GP
PLANT, LYDIA HYUNJU	FINOP, CFO AND COO	7390471
RYAN, KIMBERLY ANN	CHIEF COMPLIANCE OFFICER	4316310

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

Andrew T. Rosato

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Thomas Rosato's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOULIHAN LOKEY CAPITAL, INC.

TRIAGO

MVISION PRIVATE EQUITY ADVISERS USA LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

EATON PARTNERS, LLC

NATWEST MARKETS SECURITIES INC.

NOMURA SECURITIES INTERNATIONAL, INC.

LEHMAN BROTHERS INC.

NATIONAL BANK OF CANADA FINANCIAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/27/2010

SIE

Date: 10/1/2018

Series 7

Date: 2/10/2003

FINRA

Current Firm

FIRST AVENUE

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FIRST AVENUE

TRUST BUT VERIFY

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