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AR

Annamalai Ramaswamy

ROSE CAPITAL ADVISORS
New York, NY
Some features on this profile are disabled
CRD#: 5804946
AR

Professional summary

Annamalai Ramaswamy, who also goes by Annamalai Ramaswamy, Ram Ramaswamy, is a registered financial advisor currently at ROSE CAPITAL ADVISORS, LLC located in New York, New York and SAXONY SECURITIES, INC. located in Miami Beach, Florida.

Annamalai is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Annamalai has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Annamalai Ramaswamy | Ram Ramaswamy

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 Annamalai Ramaswamy'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

February 11, 2026 - Present

ROSE CAPITAL ADVISORS, LLC

RIA
CRD#: 173054
New York, NY
Current

March 9, 2026 - Present

SAXONY SECURITIES, INC.

Office #1: 119 Washington Avenue Suite 400, Miami Beach, FL 33139
BD
CRD#: 115547
MIAMI BEACH, FL
Past

May 7, 2018 - August 7, 2024

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

November 14, 2017 - August 7, 2024

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

July 15, 2010 - May 25, 2017

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, 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".
RC
ROSE CAPITAL ADVISORS, LLC
ROSE CAPITAL ADVISORS, LLC | WEALTH CAPITAL PARTNERS | TANDRAGEE GLOBAL ADVISORS | SULZBERGER CAPITAL ADVISORS

CRD#: 173054 / SEC#: 801-80385

RIA
Registered Investment Advisory firm - (10/1/2014 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.
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

RR
Florida
(3/9/2026)
IAR
New York
(2/11/2026)
RR
New York
(3/9/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/3/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/2/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/28/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RC
ROSE CAPITAL ADVISORS, LLC
ROSE CAPITAL ADVISORS, LLC | WEALTH CAPITAL PARTNERS | TANDRAGEE GLOBAL ADVISORS | SULZBERGER CAPITAL ADVISORS

CRD#: 173054 / SEC#: 801-80385

RIA
Registered Investment Advisory firm - (10/1/2014 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
119 Washington Avenue Suite 400, Miami Beach, FL 33139
Mailing Address
Phone number
(305) 534-7673
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (15 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

ROSE FORM ADV PART 2 WRAP FEE BROCHURE (7/25/2025)
ROSE FORM ADV 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts911
AUM (Assets Under Management)$ 663,626,570

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

ROSE CAPITAL ADVISORS, LLC

CRD#: 173054New York, NY

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