Michael D. Rose

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CRD#: 1450497

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.

Michael Dean Rose was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 6 and Series 24 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

November 28, 2006 - July 17, 2015

GRANT KOEHLER & LEVIN LTD.

RIA

CRD#: 125531

MEQUON, WI

Past

August 16, 2006 - September 17, 2014

POLAR INVESTMENT COUNSEL, INC.

CRD#: 42847

SUMMITT, NJ

Past

October 13, 1995 - September 30, 2004

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

March 31, 1988 - March 2, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

January 23, 1986 - April 9, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

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".

GRANT KOEHLER & LEVIN LTD.

CRD#: 125531 / SEC#: 801-61856

RIA

Registered Investment Advisory firm - (3/18/2003 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: 11/27/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/11/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/30/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/13/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2002

General Securities Principal Examination

Current Firm

GRANT KOEHLER & LEVIN LTD.

CRD#: 125531 / SEC#: 801-61856

RIA

Registered Investment Advisory firm - (3/18/2003 Approved)

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Contact information

Main Address

Mequon, WI

Mailing Address

Phone number

(262) 242-3770

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GKL FORM ADV PART 2A MARCH 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	204
AUM (Assets Under Management)	$ 258,286,888

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Michael D. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

POLAR INVESTMENT COUNSEL, INC.

LORD ABBETT DISTRIBUTOR LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

GRANT KOEHLER & LEVIN LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/27/2006

Series 66

Date: 3/11/2003

Series 63

Date: 10/30/1995

Series 7

Date: 6/13/1997

Series 6

Date: 10/12/1995

Series 24

Date: 12/23/2002

Current Firm

GRANT KOEHLER & LEVIN LTD.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRANT KOEHLER & LEVIN LTD.

TRUST BUT VERIFY

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