Annamalai Ramaswamy is a registered investment advisor, based in New York, NY, with 14 years of industry experience. Annamalai is also registered as a broker, so some compensation may come from commissions on products sold.
Location
New York, NY
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Saxony Securities, INC.Broker
March 2026 - Present · 7 mos
Saxony Securities, INC.
March 2026 - Present · 7 mos
Rose Capital Advisors, LLC
February 2026 - Present · 8 mos
Previous Registrations
Neuberger Berman Bd LLC
May 2018 - August 2024 · 6 yrs 3 mos
Neuberger Berman Bd LLCBroker
November 2017 - August 2024 · 6 yrs 9 mos
Goldman Sachs & CO. LLCBroker
July 2010 - May 2017 · 6 yrs 10 mos
State Registrations2 states
FLNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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