Roosevelt Investments

Roosevelt Investments (CRD# 107853) is a financial advisory firm headquartered in New York, NY. They manage $2,350,510,304 in 5,050 accounts and serve the financial needs of clients across 52 states (or territories).

By the Numbers
  • Total Assets Under Management
    2,351
    MILLION
  • Total Number of Accounts
    5,050
    ACCOUNTS
  • Average Account Value
    $465,448
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

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

Financial Advisors at Roosevelt Investments
Showing 1 - 7 of 7 top financial advisors.
1
Timothy E. Hermann
CRD#: 4574007
317 Madison Ave, Suite 1004, New York, NY 10017
96
Wealthminder
score

Timothy Hermann (CRD# 4574007) is an Investment Advisor Representative working at Roosevelt Investments in New York, NY and has over 10 years of experience in the finance industry. Timothy Hermann has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Courtney J. Bercini
CRD#: 1171994
317 Madison Ave, Suite 1004, New York, NY 10017
93
Wealthminder
score

Courtney Bercini (CRD# 1171994) is an Investment Advisor Representative working at Roosevelt Investments in New York, NY and has over 23 years of experience in the finance industry.

3
Corie E. Gabriel
CRD#: 4611612
317 Madison Ave, Suite 1004, New York, NY 10017
93
Wealthminder
score

Corie Gabriel (CRD# 4611612) is an Investment Advisor Representative working at Roosevelt Investments in New York, NY and has over 12 years of experience in the finance industry.

4
Stephen G. Halley
CRD#: 2747484
317 Madison Avenue, Suite 500, New York, NY 10017
93
Wealthminder
score

Stephen Halley (CRD# 2747484) is an Investment Advisor Representative working at Roosevelt Investments in New York, NY and has over 18 years of experience in the finance industry.

5
Steven L. Kleiner
CRD#: 4407770
317 Madison Ave, Suite 1004, New York, NY 10017
93
Wealthminder
score

Steven Kleiner (CRD# 4407770) is an Investment Advisor Representative working at Roosevelt Investments in New York, NY and has over 15 years of experience in the finance industry.

6
Michael E. Maitner
CRD#: 4159380
730 Third Avenue, 23rd Floor, New York, NY 10017
93
Wealthminder
score

Michael Maitner (CRD# 4159380) is an Investment Advisor Representative working at Roosevelt Investments in New York, NY and has over 11 years of experience in the finance industry.

7
John W. Sokolowski
CRD#: 5193515
730 Third Avenue, 23rd Floor, New York, NY 10017
93
Wealthminder
score

John Sokolowski (CRD# 5193515) is an Investment Advisor Representative working at Roosevelt Investments in New York, NY and has over 9 years of experience in the finance industry.

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