Robert Rosen, financial advisor Amherst NY
93 score

Robert Rosen

CRD Number: 1412514
Current Firm: Securities America Advisors, Inc.

Robert Rosen (CRD# 1412514) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Amherst, NY and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Securities America Inc. Amherst, NY Sep 2007 - Current 9
United States Golf Association Far Hills, NJ Jan 2005 - Current 11
Williamsville North High School Williamsville, NY Nov 1990 - Current 26
L&m Planning Group Amhearst, NY Jan 1983 - Current 33
L&m Financial Services Amherst, NY Jan 1982 - Current 34
Everbank Amherst, NY Nov 2009 - Jul 2015 5
Williamsville North High School Williamsville, NY Sep 2007 - Nov 2007 < 1
Lincoln Investment Planning, Inc. Amherst, NY Mar 2002 - Sep 2007 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1986
S65 NASAA Investment Advisors Law Examination Nov 1999
Contact Info for Robert D. Rosen
Phone Number: 402-399-9111
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    13,433
    MILLIONS
  • Total Number of Accounts
    92,356
    ACCOUNTS
  • Average Account Value
    $145,443
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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