Rosalie J. Canfield

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CRD#: 1388205

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.

Rosalie Jean Canfield was a registered financial professional .

Rosalie is a previously registered financial professional and started their career in finance in 1985. Rosalie had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 22 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.

The advisor shows no other business activity.

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 19, 2009 - September 17, 2015

SYMPHONY FINANCIAL SERVICES, INC.

RIA

CRD#: 125058

AKRON, OH

Past

November 5, 2007 - December 9, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

AKRON, OH

Past

November 5, 2007 - August 25, 2015

LPL FINANCIAL LLC

CRD#: 6413

AKRON, OH

Past

March 2, 2005 - November 5, 2007

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

AKRON, OH

Past

February 28, 2005 - November 5, 2007

M HOLDINGS SECURITIES, INC.

CRD#: 43285

AKRON, OH

Past

June 29, 2004 - March 4, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

June 14, 2002 - July 14, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

AKRON, OH

Past

May 31, 2002 - July 14, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 24, 1999 - January 15, 2002

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

February 22, 1996 - December 18, 1998

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

October 30, 1985 - May 23, 1994

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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".

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 9/27/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/25/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/1/1985

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 10/29/1985

Direct Participation Programs Representative Examination

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 Terminated)

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Contact information

Main Address

4100 Embassy Parkway Suite 100, Akron, OH 44333

Mailing Address

Phone number

(330) 434-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,254
AUM (Assets Under Management)	$ 376,086,940

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

Rosalie J. Canfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

SYMPHONY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/1985

SIE

Date: 8/25/2015

Series 7

Date: 2/17/2003

Series 6

Date: 11/1/1985

Series 22

Date: 10/29/1985

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYMPHONY FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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