Fernando A Rosa

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-08-31
CT	RA	APPROVED	2021-08-03

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Citizens Bank	New Haven	CT	08/2019	04/2021
People's United Bank	Bridgeport	CT	09/2016	08/2019
Also Shoes	Bridgeport	CT	07/2015	09/2016
Citizens Securities Inc.	New Haven	CT	08/2019	04/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Westport	CT	06/2021	Present
Housatonic Community College	Bridgeport	CT	08/2013	12/2016
Western Connecticut State University	Danbury	CT	01/2017	12/2018
Bank Of America, N.A.	Westport	CT	09/2021	Present

08/2019 → 04/2021

Citizens Bank

New Haven, CT
09/2016 → 08/2019

People's United Bank

Bridgeport, CT
07/2015 → 09/2016

Also Shoes

Bridgeport, CT
08/2019 → 04/2021

Citizens Securities Inc.

New Haven, CT
06/2021 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westport, CT
08/2013 → 12/2016

Housatonic Community College

Bridgeport, CT
01/2017 → 12/2018

Western Connecticut State University

Danbury, CT
09/2021 → Present

Bank Of America, N.A.

Westport, CT

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-08-02
S63	Uniform Securities Agent State Law Examination	2019-10-15

Nearby Firms