Ari Rosenbaum has been Director of Private Wealth Solutions/Principal of O'Shaughnessy Asset Management since July 2007, is a control person of the firm and directly owns under 5% of it.
O'Shaughnessy Asset Management, LLC is a Stamford, CT firm with $19.8B under management, 11,156 clients and 53 advisers in one office, as of its December 2025 filing.
Ari Rosenbaum’s longest registration is the current one, 18 years at O'Shaughnessy Asset Management since 2007. Before joining O'Shaughnessy Asset Management in 2007, Ari Rosenbaum was registered through Bear Stearns Asset Management Inc.
- – present · 18 yearsStamford, CT · Adviser representative · Firm CRD 144594
- Bear Stearns Asset Management Inc– · 1 yearNew York, NY · Adviser representative · Firm CRD 113359
Investment adviser representative registrations
Ari Rosenbaum is registered as an investment adviser representative in 2 states. The first approvals date from November 2007; the most recent is Texas, in February 2008.
- ConnecticutSince 21 November 2007
- TexasSince 21 February 2008
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 15 March 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 February 2011 |
| Series 66 | Uniform Combined State Law Examination | 30 January 2006 |
| Series 7 | General Securities Representative Examination | 10 January 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Ari Mark Rosenbaum
- CRD
- 2994350
- Firm
- O'Shaughnessy Asset Management · CRD 144594
- Role
- Director of Private Wealth Solutions/Principal
- Office
- 100 FIRST STAMFORD PLACE, Stamford, CT 06902
- Registration
- Investment adviser registration
- In the industry since
- July 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Ari Rosenbaum work?
Ari Rosenbaum has been Director of Private Wealth Solutions/Principal of O'Shaughnessy Asset Management, LLC since July 2007, and is a control person of the firm.
Is Ari Rosenbaum a financial advisor?
Yes. Ari Rosenbaum has a current investment-adviser registration in Connecticut and Texas, through O'Shaughnessy Asset Management since November 2007.
How many years of experience does Ari Rosenbaum have?
Ari Rosenbaum has 23 years in the financial industry, since July 2003, across 2 adviser firms.
What exams has Ari Rosenbaum passed?
Ari Rosenbaum has passed 4 licensing exams: the Series 7, Series 66, Series 6 and Series 63. The earliest, the Series 7, was passed in January 2006. FINRA credited Ari Rosenbaum with the SIE, which began in October 2018.
Where did Ari Rosenbaum work before O'Shaughnessy Asset Management?
Before O'Shaughnessy Asset Management, Ari Rosenbaum was registered through Bear Stearns Asset Management Inc, February 2006 to July 2007.
Where is Ari Rosenbaum based?
Ari Rosenbaum’s registered office is in Stamford, CT.
Is Ari Rosenbaum registered with FINRA?
No. Ari Rosenbaum has no current broker registration.
How can I verify Ari Rosenbaum’s record?
Search CRD 2994350 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ari Rosenbaum’s full registration record.
- Christopher LovelessPresident/Principal
- Kristopher SmithChief Operating Officer/Principal
- Raymond Amoroso IIIChief Compliance Officer/Principal
- Scott BartoneChief Product Officer/Co-Head of Investment Management/Portfolio Manager/Principal
- Bradley BerggrenCo-CIO of Canvas Managed Options Strategies/Portfolio Manager/Principal
- Erin FoleyDirector of Trading/Principal
- Rajat GuptaChief Technology Officer/Principal
- Patrick O'ShaughnessyChairman Emeritus
- Jonathan OrseckCo-CIO of Canvas Managed Options Strategies/Portfolio Manager/Principal
- Roger ParadisoExecutive Chairman/Principal
- Claudine SpenceDirector of Client Service/Principal
- Ehren StanhopeChief Investment Strategist/Co-Head of Investment Management/Portfolio Manager/Principal