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Sole Proprietor and Chief Compliance Officer · SIP Financial Services

Lanny K. Rosenbaum

CRD 5352329 · Named on Form ADV at one SEC-registered adviser

At a glance

SIP Financial Services, an SEC-registered wealth manager based in Glenville, NY with $28 million in regulatory assets, lists Lanny K. Rosenbaum on its Form ADV as Sole Proprietor and Chief Compliance Officer, a control person.

Firms and roles

  • SIP Financial ServicesSole Proprietor and Chief Compliance OfficerWealth manager · Glenville, NY · $28M in regulatory assets

AtlasMembers

Lanny’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Lanny’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.