MR
Mark B. Rose
ROCKLINE WEALTH MANAGEMENT LLC
ISLIP TERRACE, NY 11752
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CRD#: 1210133
MR
Professional summary
Mark Bennett Rose is a registered financial advisor currently at ROCKLINE WEALTH MANAGEMENT LLC located in Islip Terrace, New York.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Mark has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) 04/22/2019 - Rockline Risk Management, LLC - Investment related - At reported buisness location(s) - Non-Variable Insurance - start date:04/15/2019 - 20 hrs/mo - 0 hrs during trading 2) 04/20/2018 - Rockline Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/20/2018 - 160 Hours Per Month/ 6.5 Hours During Securities Trading - Time Spent 100% 3) 06/06/2023 - Rockline Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 05/01/2023 - 40 Hours Per Month/ 325 Hours During Securities Trading - I provide investment advisory services through Rockline Wealth Management LLC, an independent investment advisor firm. I started this business activity in 05/2023. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Bennett Rose's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 1, 2023 - Present
ROCKLINE WEALTH MANAGEMENT LLC
Office #1: 2701 Sunrise Highway, Islip Terrace, NY 11752RIA
CRD#: 324004
ISLIP TERRACE, NY
Past
April 20, 2018 - June 18, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
PLAINVIEW, NY
Past
April 20, 2018 - June 18, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
PLAINVIEW, NY
Past
April 8, 2011 - April 23, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MELVILLE, NY
Past
July 1, 2003 - April 23, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MELVILLE, NY
Past
September 15, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 23, 1983 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
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".
RW
ROCKLINE WEALTH MANAGEMENT LLC
ROCKLINE WEALTH MANAGEMENT LLC
CRD#: 324004 / SEC#: 801-127867
RIA
Registered Investment Advisory firm - (5/1/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(5/1/2023)
IAR
Texas(5/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RW
ROCKLINE WEALTH MANAGEMENT LLC
ROCKLINE WEALTH MANAGEMENT LLC
CRD#: 324004 / SEC#: 801-127867
RIA
Registered Investment Advisory firm - (5/1/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2701 Sunrise Highway, Islip Terrace, NY 11752
Mailing Address
Phone number
(516) 605-1624
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 631,676,085 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKLINE WEALTH MANAGEMENT LLC
CRD#: 324004Islip Terrace, NY 11752TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
