William E. Roark

RS ASSET MANAGEMENT

COLORADO SPRINGS, CO 80906

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CRD#: 1627710

Professional summary

William Eddy Roark, who also goes by Bob Roark, is a registered financial advisor currently at RS ASSET MANAGEMENT, LLC located in Colorado Springs, Colorado and LPL FINANCIAL LLC located in Colorado Springs, Colorado.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. William has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Roark

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) 6/21/2011: REGISTERED INVESTMENT ADVISOR - RS ASSET MANAGEMENT, LLC - DBA: RS ASSET MANAGEMENT - (HYBRID) PROVIDES ASSET MANAGEMENT AND FINANCIAL PLANNING FOR A FEE. - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - 80% OF TIME SPENT. 2) 8/21/2013: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - RS ASSET MANAGEMENT, LLC - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S). 3) 6/11/2014: BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - GUNNER LLC - STARTED 05/20/11 - INVESTMENT RELATED - NO TIME SPENT - 660 SOUTH POINTE CT 312, COLORADO SPRINGS CO 80906. 4) 4/7/2015: OTHER - FARM - SOLE PROPRIETORSHIP - LAND OWNER WITH A PORTION IN ROW CROPS. - STARTED 09/01/1994 - INVESTMENT RELATED - 1 HOUR PER MONTH/0 HOURS DURING TRADING - 250 AWALT DR. WINCHESTER, TN 37398. 5) 2/5/2018 - Valley Mini Storage - Not Investment Related - 215 Bypass Road, WInchester, TN 37398 - Other-Business Owner - Owner - Started 09/13/2004 - 2 Hours Per Month/0 Hours During Securities Trading - Self storage facility. 6) 03/08/2019 - No business name - Investment related - At reported business location(s) - Other-center of influence marketing - start date: 01/21/2019 - 5 Hours Per Month/0 Hours During Securities Trading - Provide curated content to center of influence. 7) 4/2/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Workshop business owner transiton education - Instructor Facilitator - Start Date: 04/03/2019 - 10 Hours Per Month During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Eddy Roark's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 7, 2011 - Present

RS ASSET MANAGEMENT, LLC

Office #1: 660 Southpointe Court Suite 312, Colorado Springs, CO 80906

RIA

CRD#: 157768

COLORADO SPRINGS, CO

Current

May 26, 2011 - Present

LPL FINANCIAL LLC

Office #1: 660 Southpointe Ct Ste 312, Colorado Springs, CO 80906

RIA

CRD#: 6413

Colorado Springs, CO

Past

July 28, 2017 - August 4, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

COLORADO SPRINGS, CO

Past

June 1, 2009 - June 3, 2011

MORGAN STANLEY

RIA

CRD#: 149777

COLORADO SPRINGS, CO

Past

June 1, 2009 - June 3, 2011

MORGAN STANLEY

CRD#: 149777

COLORADO SPRINGS, CO

Past

February 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

COLORADO SPRINGS, CO

Past

February 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

COLORADO SPRINGS, CO

Past

June 10, 1987 - February 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

COLORADO SPRINGS, CO

Past

March 25, 1987 - February 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

COLORADO SPRINGS, CO

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".

RS ASSET MANAGEMENT, LLC

CRD#: 157768 / SEC#: 801-79114

RIA

Registered Investment Advisory firm - (1/29/2014 Approved)

Colorado

Registered Investment Advisory firm - (3/7/2014 Terminated)

Kansas

Registered Investment Advisory firm - (2/5/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/5/2014 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/30/2011)

Arizona
(5/26/2011)

California
(5/26/2011)

Colorado
(6/7/2011)

IAR

Colorado
(6/7/2011)

Florida
(5/31/2011)

Georgia
(7/7/2011)

Idaho
(12/16/2024)

Indiana
(5/19/2023)

Iowa
(6/25/2021)

Kansas
(5/26/2011)

Kentucky
(6/26/2024)

Louisiana
(2/6/2012)

Maryland
(9/10/2013)

Massachusetts
(6/24/2011)

Missouri
(10/26/2011)

Nebraska
(11/21/2018)

Nevada
(5/26/2011)

New Mexico
(5/26/2011)

Ohio
(1/17/2014)

Oregon
(2/15/2017)

Pennsylvania
(12/14/2015)

South Carolina
(10/25/2013)

Tennessee
(3/31/2023)

Texas
(5/26/2011)

IAR

Texas
(4/10/2012)

Utah
(7/17/2013)

Virginia
(6/10/2013)

Washington
(8/10/2011)

Wisconsin
(8/8/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/4/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RS ASSET MANAGEMENT, LLC

CRD#: 157768 / SEC#: 801-79114

RIA

Registered Investment Advisory firm - (1/29/2014 Approved)

Colorado

Registered Investment Advisory firm - (3/7/2014 Terminated)

Kansas

Registered Investment Advisory firm - (2/5/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/5/2014 Terminated)

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Contact information

Main Address

660 Southpointe Court Suite 312, Colorado Springs, CO 80906

Mailing Address

Phone number

(719) 219-8444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RSAM - ADV PART 2A APPENDIX: WRAP BROCHURE (1/23/2025)

RSAM - ADV PART 2A: FIRM BROCHURE (1/23/2025)

Regulatory assets under management

Total Number of Accounts	671
AUM (Assets Under Management)	$ 150,188,314

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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COMMONWEALTH FINANCIAL NETWORK

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

William E. Roark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Eddy Roark's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/1995

Series 63

Date: 4/20/1987

SIE

Date: 10/1/2018

Series 31

Date: 9/4/1997

Series 7

Date: 3/21/1987

FINRA

Current Firm

RS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors