Steven A. Rosner

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CRD#: 1071078

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Arthur Rosner was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

F/m Acceleration, LLC - Washington, DC - 3050 K St. NW, Suite 201, Washington DC 20007 - F/m Acceleration, LLC provides back-office and marketing support for registered investment advisors. Mr. Rosner is the Director of Client Service and began in January of 2021. F/m Acceleration, LLC takes up approximately 40 hours/week. Mr. Rosner provides trading, settlement, execution, and operational support to registered investment advisors.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 13, 2022 - August 14, 2025

F/M INVESTMENTS LLC

RIA

CRD#: 304405

Roseville, CA

Past

April 27, 2018 - September 30, 2020

UNITED ADVISORS SERVICES, LLC

RIA

CRD#: 150080

New York, NY

Past

April 4, 2018 - September 30, 2020

FSIC

CRD#: 37813

BOCA RATON, FL

Past

February 22, 2011 - April 2, 2018

UNITED ADVISORS

RIA

CRD#: 133668

BOCA RATON, FL

Past

February 22, 2011 - April 2, 2018

SECURITIES AMERICA, INC.

CRD#: 10205

ENGLEWOOD, NJ

Past

September 24, 2007 - February 22, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PARAMUS, NJ

Past

September 22, 1987 - February 22, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PARAMUS, NJ

Past

October 25, 1982 - January 21, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

F/M INVESTMENTS LLC

F/M INVESTMENTS LLC | OAKHURST CAPITAL ADVISORS LLC | NORTH SLOPE CAPITAL LLC | INTEGRATED ALPHA INVESTMENTS LLC | GENOA ASSET MANAGEMENT LLC

CRD#: 304405 / SEC#: 801-116853

RIA

Registered Investment Advisory firm - (6/28/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/17/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

F/M INVESTMENTS LLC

F/M INVESTMENTS LLC | OAKHURST CAPITAL ADVISORS LLC | NORTH SLOPE CAPITAL LLC | INTEGRATED ALPHA INVESTMENTS LLC | GENOA ASSET MANAGEMENT LLC

CRD#: 304405 / SEC#: 801-116853

RIA

Registered Investment Advisory firm - (6/28/2019 Approved)

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Contact information

Main Address

3050 K. St Nw Suite 201, Washington, DC 20007

Mailing Address

Phone number

(202) 839-4910

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FMI FORM ADV PART 2A 03.31.2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	4,480
AUM (Assets Under Management)	$ 16,899,434,237

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Steven A. Rosner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED ADVISORS SERVICES, LLC

FSIC

UNITED ADVISORS

SECURITIES AMERICA, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

F/M INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/17/2007

Series 63

Date: 10/1/1987

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 6

Date: 10/22/1982

Current Firm

F/M INVESTMENTS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

F/M INVESTMENTS LLC

TRUST BUT VERIFY

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