Stephen J. Rosasco

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CRD#: 1999088

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.

Stephen J Rosasco was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 6 firms and has passed the SIE and Series 6 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

June 16, 2017 - October 31, 2018

SFG WEALTH MANAGEMENT

RIA

CRD#: 285785

Baltimore, MD

Past

January 14, 2014 - December 31, 2014

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BALTIMORE, MD

Past

June 13, 2007 - January 22, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

BALTIMORE, MD

Past

December 12, 2005 - July 2, 2007

PRINCIPAL SECURITIES, INC.

CRD#: 1137

BALTIMORE, MD

Past

September 26, 2003 - December 16, 2005

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

December 5, 1989 - October 10, 2001

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

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".

SFG WEALTH MANAGEMENT

SFG WEALTH MANAGEMENT | SYNERGY FINANCIAL GROUP LLC | SFG WEALTH MANAGEMENT, LLC

CRD#: 285785 / SEC#: 801-108748

RIA

Registered Investment Advisory firm - (12/16/2016 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

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/3/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SFG WEALTH MANAGEMENT

SFG WEALTH MANAGEMENT | SYNERGY FINANCIAL GROUP LLC | SFG WEALTH MANAGEMENT, LLC

CRD#: 285785 / SEC#: 801-108748

RIA

Registered Investment Advisory firm - (12/16/2016 Approved)

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Contact information

Main Address

1104 Kenilworth Drive Suite 500, Towson, MD 21204

Mailing Address

Phone number

(410) 825-3200

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 PART 2A, APP 1 - WRAP BROCHURE (9/9/2025)

FORM ADV PART 2A - FIRM BROCHURE (9/9/2025)

Regulatory assets under management

Total Number of Accounts	1,918
AUM (Assets Under Management)	$ 643,567,369

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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Stephen J. Rosasco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SFG WEALTH MANAGEMENT

KESTRA INVESTMENT SERVICES, LLC

NYLIFE SECURITIES LLC

PRINCIPAL SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

NATIONWIDE SECURITIES, LLC

Primary Firm SEC Registration

SFG WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

SIE

Date: 12/31/2014

Series 6

Date: 11/3/1989

Current Firm

SFG WEALTH MANAGEMENT

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SFG WEALTH MANAGEMENT

TRUST BUT VERIFY

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