DR
David L. Rosenow
CWP PRIVATE WEALTH MANAGEMENT
West Bend, WI 53095
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CRD#: 1561780
DR
Professional summary
David Leo Rosenow is a registered financial advisor currently at CWP PRIVATE WEALTH MANAGEMENT located in West Bend, Wisconsin and HBW RIA SERVICES, LLC located in West Bend, Wisconsin.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. David has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 7 and Series 24 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.
INDEPENDENT INSURANCE AGENT;INVESTMENT RELATED; MIDDLETON, WI, INSURANCE SALES; AGENT;ACTIVITY BEGAN 03/1986; I DEVOTE LESS THAN ONE HOUR PER MONTH TO THIS ACTIVITY AND NONE DURING TRADING HOURS; SALES OF INSURANCE PRODUCTS; COMPENSATION IS COMMISSION. CAPITAL WEALTH PLAN, LLC; INVESTMENT RELATED; WEST BEND, WI; RIA; BUSINESS MANAGER; ACTIVITY BEGAN 08/2018; I DEVOTE APPX 60 HOURS PER MONTH ALL DURING TRADING HOURS TO THIS ACTIVITY; ASSIST IN COORDINATION OF 3 INDEPENDENT RIA'S UNDER ONE RIA. 03/2022 MEMBER HBW RIA SERVICES, LLC. A REGISTERED INVESTMENT ADVISOR MEMBER/CHIEF COMPLIANCE OFFICER; RIA SERVICES LLC DBA CWP PRIVATE WEALTH MANAGEMENT; ACTIVITY BEGAN 1/1/2021; I DEVOTE APPX 25 HOURS PER WEEK
CRS (Client Relationship Summary) - RIA
Click below to view David Leo Rosenow'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
January 20, 2021 - Present
CWP PRIVATE WEALTH MANAGEMENT
Office #1: 1755 W. Paradise Dr., West Bend, WI 53095RIA
CRD#: 281520
West Bend, WI
Current
March 25, 2022 - Present
HBW RIA SERVICES, LLC
Office #1: 1755 W Paradise Drive Suite 102, West Bend, WI 53095RIA
CRD#: 319056
West Bend, WI
Past
February 1, 2018 - August 19, 2020
AUSDAL FINANCIAL PARTNERS, INC.
BD
CRD#: 7995
Middleton, WI
Past
February 5, 1998 - February 8, 2016
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
MADISON, WI
Past
February 8, 1996 - December 31, 1997
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
MADISON, WI
Past
June 3, 1987 - December 31, 1990
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
November 17, 1986 - January 16, 1996
WFG SECURITIES CORPORATION
BD
CRD#: 13169
MIDDLETON, WI
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".
CP
CWP PRIVATE WEALTH MANAGEMENT
CWP PRIVATE WEALTH MANAGEMENT | RIA SERVICES, LLC
CRD#: 281520 / SEC#: 801-120760
RIA
Registered Investment Advisory firm - (4/9/2021 Approved)Indiana
Registered Investment Advisory firm - (12/9/2021 Terminated)Michigan
Registered Investment Advisory firm - (12/8/2021 Terminated)Wisconsin
Registered Investment Advisory firm - (4/21/2021 Terminated)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
Wisconsin(1/20/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 9/13/2022
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CP
CWP PRIVATE WEALTH MANAGEMENT
CWP PRIVATE WEALTH MANAGEMENT | RIA SERVICES, LLC
CRD#: 281520 / SEC#: 801-120760
RIA
Registered Investment Advisory firm - (4/9/2021 Approved)Indiana
Registered Investment Advisory firm - (12/9/2021 Terminated)Michigan
Registered Investment Advisory firm - (12/8/2021 Terminated)Wisconsin
Registered Investment Advisory firm - (4/21/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1755 W. Paradise Dr., West Bend, WI 53095
Mailing Address
Po Box 495, West Bend, WI 53095
Phone number
(262) 226-2729
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,053 |
| AUM (Assets Under Management) | $ 221,743,528 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 07/25/2024 | ||
| 10/13/2023 | ||
| 11/28/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CWP PRIVATE WEALTH MANAGEMENT
CRD#: 281520West Bend, WI 53095TRUST BUT VERIFY
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