Raymond Amoroso III has been Chief Compliance Officer/Principal of O'Shaughnessy Asset Management since January 2008, 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.
No adviser firm registrations are on Raymond Amoroso III’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 29 April 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 December 2010 |
| Series 7 | General Securities Representative Examination | 1 November 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5362699
- Firm
- O'Shaughnessy Asset Management · CRD 144594
- Role
- Chief Compliance Officer/Principal
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Raymond Amoroso III work?
Raymond Amoroso III has been Chief Compliance Officer/Principal of O'Shaughnessy Asset Management, LLC since January 2008, and is a control person of the firm.
Does Raymond Amoroso III have a current investment-adviser registration?
Raymond Amoroso III has no current investment-adviser or broker registration.
What exams has Raymond Amoroso III passed?
Raymond Amoroso III has passed 3 licensing exams: the Series 7, Series 63 and Series 26. The earliest, the Series 7, was passed in November 2010. FINRA credited Raymond Amoroso III with the SIE, which began in October 2018.
Is Raymond Amoroso III registered with FINRA?
No. Raymond Amoroso III has no current broker registration.
How can I verify Raymond Amoroso III’s record?
Search CRD 5362699 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Raymond Amoroso III’s full registration record.
- Christopher LovelessPresident/Principal
- Kristopher SmithChief Operating 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
- Ari RosenbaumDirector of Private Wealth Solutions/Principal
- Claudine SpenceDirector of Client Service/Principal
- Ehren StanhopeChief Investment Strategist/Co-Head of Investment Management/Portfolio Manager/Principal