← Tributary

SHUFRO, ROSE & CO., LLC

NEW YORK, NY · CRD 3403 · IAPD ↗ · 212-754-5100

$2.46BRegulatory AUM
9Advisory reps
27Employees
4Clients
101-250Planning clients
0Private funds
53States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
April 2025 — SHUFRO, ROSE & CO., LLC notice-filed in VI, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2025 — SHUFRO, ROSE & CO., LLC reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.