Annamalai Ramaswamy has been an investment adviser representative at Rose Capital Advisors since February 2026, and is not listed among the firm’s executive officers or direct owners.
Rose Capital Advisors, LLC is a Miami Beach, FL firm with $608M under management, 375 clients and 9 advisers across 7 offices, as of its August 2026 filing.
Annamalai Ramaswamy’s longest registration was 6 years at Neuberger Berman BD LLC (2018–2024). Before joining Rose Capital Advisors in 2026, Annamalai Ramaswamy was registered through Neuberger Berman BD LLC.
- Rose Capital Advisors, LLCCurrent– present · under a yearNew York, NY · Adviser representative · Firm CRD 173054
- Neuberger Berman BD LLC– · 6 yearsNew York, NY · Adviser representative · Firm CRD 2908
Investment adviser representative registrations
Annamalai Ramaswamy is registered as an investment adviser representative in New York, since February 2026.
- New YorkSince 11 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 3 May 2018 |
| Series 3 | National Commodity Futures Examination | 28 October 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 September 2010 |
| Series 7 | General Securities Representative Examination | 14 July 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5804946
- Firm
- Rose Capital Advisors · CRD 173054
- Office
- New York, NY
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2012
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Annamalai Ramaswamy work?
Annamalai Ramaswamy is an investment adviser representative registered through Rose Capital Advisors, LLC since February 2026, and is not listed among the firm’s executive officers or direct owners.
Is Annamalai Ramaswamy a financial advisor?
Yes. Annamalai Ramaswamy has a current investment-adviser registration in New York, through Rose Capital Advisors since February 2026.
How many years of experience does Annamalai Ramaswamy have?
Annamalai Ramaswamy has 14 years in the financial industry, since July 2012, across 2 adviser firms.
What exams has Annamalai Ramaswamy passed?
Annamalai Ramaswamy has passed 4 licensing exams: the Series 7, Series 63, Series 3 and Series 65. The earliest, the Series 7, was passed in July 2010. FINRA credited Annamalai Ramaswamy with the SIE, which began in October 2018.
Where did Annamalai Ramaswamy work before Rose Capital Advisors?
Before Rose Capital Advisors, Annamalai Ramaswamy was registered through Neuberger Berman BD LLC, May 2018 to August 2024.
Where is Annamalai Ramaswamy based?
Annamalai Ramaswamy’s registered office is in New York, NY.
Is Annamalai Ramaswamy registered with FINRA?
Yes. Annamalai Ramaswamy has a current broker registration, under CRD 5804946.
Source: FINRA BrokerCheck
How can I verify Annamalai Ramaswamy’s record?
Search CRD 5804946 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Annamalai Ramaswamy’s full registration record.
