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RR

Rosemarie N. Ranzie

STAGE HARBOR FINANCIAL
WESTWOOD, MA 02090
Some features on this profile are disabled
CRD#: 5236178
RR

Professional summary

Rosemarie Na Ranzie, who also goes by Rosemarie Ranzie, is a registered financial advisor currently at STAGE HARBOR FINANCIAL located in Westwood, Massachusetts.

Rosemarie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Rosemarie has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rosemarie Ranzie

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 Rosemarie Na Ranzie'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

October 12, 2021 - Present

STAGE HARBOR FINANCIAL

Office #1: 100 Lowder Brook Drive Suite #2500, Westwood, MA 02090
RIA
CRD#: 289725
WESTWOOD, MA
Past

June 29, 2018 - June 30, 2020

STAGE HARBOR FINANCIAL

RIA
CRD#: 289725
NEEDHAM, MA
Past

April 17, 2017 - June 7, 2018

LPL FINANCIAL LLC

RIA
CRD#: 6413
WARWICK, RI
Past

September 9, 2014 - June 20, 2018

THE PATRIOT FINANCIAL GROUP, LLC

RIA
CRD#: 172470
WARWICK, RI
Past

January 16, 2014 - October 29, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
WARWICK, RI
Past

May 8, 2013 - January 15, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
WARWICK, RI
Past

April 23, 2013 - June 7, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
WARWICK, RI
Past

March 4, 2009 - August 3, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
WARWICK, RI
Past

March 4, 2009 - August 3, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
WARWICK, RI
Past

April 25, 2008 - February 27, 2009

OSAIC FS, INC.

RIA
CRD#: 3870
WARWICK, RI
Past

September 18, 2007 - February 27, 2009

OSAIC FS, INC.

BD
CRD#: 3870
WARWICK, RI

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".
SH
STAGE HARBOR FINANCIAL
CORTANA ADVISORS, LLC | STAGE HARBOR FINANCIAL, LLC | STAGE HARBOR FINANCIAL

CRD#: 289725 / SEC#: 801-112359

RIA
Registered Investment Advisory firm - (5/8/2018 Approved)

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
Massachusetts
(10/12/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/12/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/19/2010
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/2007
General Securities Principal Examination

Current Firm

SH
STAGE HARBOR FINANCIAL
CORTANA ADVISORS, LLC | STAGE HARBOR FINANCIAL, LLC | STAGE HARBOR FINANCIAL

CRD#: 289725 / SEC#: 801-112359

RIA
Registered Investment Advisory firm - (5/8/2018 Approved)
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Contact information

Main Address
100 Lowder Brook Drive Suite #2500, Westwood, MA 02090
Mailing Address
Phone number
(781) 934-3130
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR STAGE HARBOR FINANCIAL, LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts901
AUM (Assets Under Management)$ 972,886,954

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/02/2025
Cover Page
Report
12/11/2024
Cover Page
Report
12/12/2023
Cover Page
Report
10/14/2022
Cover Page
Report

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.

Company Information

STAGE HARBOR FINANCIAL

CRD#: 289725Westwood, MA 02090

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