Aimee Adler
SHUFRO, ROSE & CO. | ASSOCIATE
New York, NY 10022
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CRD#: 7186177
Professional summary
Aimee Adler, CFP® is a registered financial advisor currently at SHUFRO, ROSE & CO., LLC located in New York, New York.
Aimee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Aimee has worked at 4 firms and has passed the Series 65 exam.
Biography
Aimee M. Adler is an Associate in the New York office. Aimee is responsible for assisting with the daily needs of clients and supporting wealth advisors in providing financial advice to high-net-worth clients.
Prior to joining Cerity Partners, Aimee was an Associate, Wealth Analyst at Round Table Wealth Management, where she supported the wealth advisory team on a wide range of financial planning tasks. Before joining Round Table, she worked as a Client Services and Operations Associate at another registered investment advisory firm.
In her spare time, Aimee enjoys trying new exercise classes and giving back to the community.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Aimee Adler'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®
Education
Tulane University
B.S.M - Finance and Management
Experience
Current
February 6, 2024 - Present
SHUFRO, ROSE & CO., LLC
Office #1: 600 Lexington Avenue 15th Floor, New York, NY 10022RIA
CRD#: 3403
New York, NY
Past
January 3, 2023 - January 11, 2024
CERITY PARTNERS LLC
RIA
CRD#: 151559
NEW YORK, NY
Past
February 25, 2022 - December 2, 2022
ROUND TABLE WEALTH MANAGEMENT
RIA
CRD#: 111304
WESTFIELD, NJ
Past
February 20, 2020 - February 12, 2022
PAYNE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 147119
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".
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)BD
Terminated by SEC on 02/09/2016
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
New York(2/6/2024)
Current Firm
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)BD
Terminated by SEC on 02/09/2016
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Contact information
Main Address
600 Lexington Avenue 15th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 754-5100
Established
New York since 04/01/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
27
SEC notice filing (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEIT, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 818707 |
| SHUFRO, EDWARD GEORGE | SENIOR MANAGING DIRECTOR, CEO | 422885 |
| CONTANT, JOHN MARINUS | SENIOR MANAGING DIRECTOR | 2810876 |
| GLASS, STEVEN JEFFREY | SENIOR MANAGING DIRECTOR, CFO, FINOP | 1756153 |
| WACHT, HARVEY | SENIOR MANAGING DIRECTOR | 456036 |
| EDWARDS, MYLES JOSHUA IV | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL | 2040332 |
| KAMINSKY, TONIA | SENIOR MANAGING DIRECTOR | 4134855 |
| SHUFRO, GREGORY DAVID | SENIOR MANAGING DIRECTOR | 4718283 |
Regulatory assets under management
| Total Number of Accounts | 1,338 |
| AUM (Assets Under Management) | $ 2,165,482,981 |
Disclosures
| Regulatory Event | 11 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2024 | ||
| 06/14/2023 |
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.
