AR
Anthony Rosa
R & R FINANCIAL PLANNERS
East Meadow, NY 11554
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CRD#: 5676073
AR
Professional summary
Anthony Rosa is a registered financial advisor currently at R & R FINANCIAL PLANNERS, INC. located in East Meadow, New York and RNR SECURITIES, L.L.C. located in East Meadow, New York.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Anthony has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 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.
1) Anthony Rosa DBA Tony Rosa;TONY ROSA-OWNER;53 DEER LANE, WANTAGH NY 11793; Landscape Maintenance; Non-Investment related; Began 4/01/1978; WORKS APPROX 4 HRS PER WEEK-SEASONAL, 0 hrs/month during trading hours; Compensated via monthly service charge. 2) Investment Advisory Representative; R&R FINANCIAL PLANNERS, INC. 1802 HEMPSTEAD TPKE., EAST MEADOW, NY 11554. (AFFILIATED WITH RNR SECURITIES, L.L.C SAME ADDRESS); POSITION IS INVESTMENT ADVISOR REPRESNTATIVE & EQUITY PORTFOLIO MANAGER; Started 6/01/2009; Fee based compensation; 160 hrs/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Rosa'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®
NoneExperience
Current
January 3, 2011 - Present
R & R FINANCIAL PLANNERS, INC.
Office #1: 1802 Hempstead Turnpike, East Meadow, NY 11554RIA
CRD#: 113291
East Meadow, NY
Current
November 8, 2010 - Present
RNR SECURITIES, L.L.C.
Office #1: 1802 Hempstead Tpke, East Meadow, NY 11554-1032BD
CRD#: 43689
East Meadow, NY
Past
August 13, 2009 - September 14, 2010
RNR SECURITIES, L.L.C.
BD
CRD#: 43689
EAST MEADOW, NY
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".
R&
R & R FINANCIAL PLANNERS, INC.
R & R FINANCIAL PLANNERS, INC.
CRD#: 113291 / SEC#: 801-127801
RIA
Registered Investment Advisory firm - (5/16/2023 Approved)Colorado
Registered Investment Advisory firm - (3/31/2020 Terminated)Florida
Registered Investment Advisory firm - (6/6/2023 Terminated)New York
Registered Investment Advisory firm - (6/6/2023 Terminated)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.RR
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
IAR
Florida(1/3/2011)
RR
New York(11/8/2010)
IAR
New York(5/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
R&
R & R FINANCIAL PLANNERS, INC.
R & R FINANCIAL PLANNERS, INC.
CRD#: 113291 / SEC#: 801-127801
RIA
Registered Investment Advisory firm - (5/16/2023 Approved)Colorado
Registered Investment Advisory firm - (3/31/2020 Terminated)Florida
Registered Investment Advisory firm - (6/6/2023 Terminated)New York
Registered Investment Advisory firm - (6/6/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1802 Hempstead Turnpike, East Meadow, NY 11554
Mailing Address
Phone number
(516) 222-8850
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 226 |
| AUM (Assets Under Management) | $ 46,220,816 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
