Jerome Rossi
Professional summary
Jerome Rossi, who also goes by Jerry Rossi, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in New Windsor, New York.
Jerome is registered as a RR (Registered Representative) and started their career in finance in 2003. Jerome has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jerome Rossi's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 484 Temple Hill Road Suite 106, New Windsor, NY 12553December 4, 2019 - July 22, 2022
NATIONAL SECURITIES CORPORATION
February 2, 2017 - December 4, 2019
SPIRE SECURITIES, LLC
July 28, 2014 - June 9, 2016
RAYMOND JAMES & ASSOCIATES, INC.
October 3, 2007 - February 25, 2014
STIFEL INDEPENDENT ADVISORS, LLC
July 31, 2007 - October 4, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 3, 2003 - July 31, 2007
RYAN BECK & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2022)
Exams
FINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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Company Information
B. RILEY WEALTH MANAGEMENT
CRD#: 2543New Windsor, NY 12553TRUST BUT VERIFY
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