Rose K. Hopkins

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CRD#: 1140078

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.

Rose Kasun Hopkins, who also goes by Rose Marie Kasun, was a registered financial professional .

Rose is a previously registered financial professional and started their career in finance in 1983. Rose had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rose Marie Kasun

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.

1)Stonebridge Financial Group;investment related;602 N Front St,Wormleysburg,PA;financial advisory services;senior registered account administrator;11/1/2018;160 hrs/month;6.5 hrs during trading;senior client administrator 2)Stonebridge Financial Group, LLC; Investment related: yes; 602 N Front St, Wormleysburg, PA 17043; Nature or Structure of Business: LLC taxed as a partnership; Position: Senior Registered Account Administrator; Start date: 03/15/2013; hours per month: 175; securities trading hours 175; Duties: Client onboarding, money movements, client account operational taskings

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

February 5, 2024 - April 4, 2024

STONEBRIDGE FINANCIAL GROUP, LLC

RIA

CRD#: 327529

WORMLEYSBURG, PA

Past

November 1, 2018 - February 5, 2024

OSAIC ADVISORY SERVICES, LLC

RIA

CRD#: 171070

Wormleysburg, PA

Past

November 1, 2018 - April 5, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Wormleysburg, PA

Past

March 15, 2013 - November 9, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

WORMLEYSBURG, PA

Past

March 15, 2013 - November 9, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

WORMLEYSBURG, PA

Past

April 18, 2011 - March 15, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LEMOYNE, PA

Past

December 15, 2005 - March 15, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LEMOYNE, PA

Past

January 26, 1989 - December 30, 1989

HESS, GRANT & COMPANY, INC.

CRD#: 2187

Past

June 22, 1983 - April 14, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

STONEBRIDGE FINANCIAL GROUP, LLC

AVIA WEALTH ADVISORS | WHITECLIFF WEALTH MANAGEMENT | STONEBRIDGE FINANCIAL GROUP, LLC | EMC WEALTH MANAGEMENT LLC

CRD#: 327529 / SEC#: 801-129034

RIA

Registered Investment Advisory firm - (11/8/2023 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 66

Date: 10/12/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/4/2007

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: 12/14/2005

General Securities Representative Examination

Current Firm

STONEBRIDGE FINANCIAL GROUP, LLC

AVIA WEALTH ADVISORS | WHITECLIFF WEALTH MANAGEMENT | STONEBRIDGE FINANCIAL GROUP, LLC | EMC WEALTH MANAGEMENT LLC

CRD#: 327529 / SEC#: 801-129034

RIA

Registered Investment Advisory firm - (11/8/2023 Approved)

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Contact information

Main Address

602 North Front Street, Wormleysburg, PA 17043

Mailing Address

Phone number

(717) 736-7007

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SFG WRAP BROCHURE (8/1/2025)

SFG ADV PART 2A (8/1/2025)

Regulatory assets under management

Total Number of Accounts	4,021
AUM (Assets Under Management)	$ 1,831,293,279

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

Rose K. Hopkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC ADVISORY SERVICES, LLC

TRIAD ADVISORS LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

HESS, GRANT & COMPANY, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

STONEBRIDGE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2011

Series 63

Date: 4/4/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/14/2005

Current Firm

STONEBRIDGE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEBRIDGE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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