Michael J. Rosman

ROSMAN ASSET MANAGEMENT

The Woodlands, TX

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CRD#: 2108901

Professional summary

Michael John Rosman is a registered financial advisor currently at ROSMAN ASSET MANAGEMENT, LLC located in The Woodlands, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Michael has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 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.

MICHAEL J. ROSMAN IS ALSO A LICENSED INSURANCE PROFESSIONAL AT THE SAME BUSINESS ADDRESS. LESS THAN 1% OF BUSINESS TIME IS SPENT ON THIS NON-INVESTMENT ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Rosman'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®

None

Experience

Current

February 25, 2011 - Present

ROSMAN ASSET MANAGEMENT, LLC

RIA

CRD#: 155922

The Woodlands, TX

Past

May 9, 2005 - March 3, 2011

FELTL & COMPANY

CRD#: 6905

PLYMOUTH, MN

Past

January 4, 1999 - May 12, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 11, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

January 31, 1997 - February 14, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 3, 1990 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

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

Minnesota
(5/14/2015)

IAR

Texas
(2/25/2011)

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: 5/7/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/29/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/7/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/1/1998

Registered Options Principal Examination

Current Firm

ROSMAN ASSET MANAGEMENT, LLC

CRD#: 155922 / SEC#:

Illinois

Registered Investment Advisory firm - (1/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (3/1/2011 Approved)

Texas

Registered Investment Advisory firm - (2/25/2011 Approved)

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).

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Contact information

Main Address

The Woodlands, TX

Mailing Address

7 Switchbud Place Suite C 192-313, The Woodlands, TX 77380

Phone number

(832) 335-9118

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	121
AUM (Assets Under Management)	$ 58,155,398

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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Firm Stability Insights

Michael J. Rosman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Rosman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FELTL & COMPANY

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/1997

Series 63

Date: 12/4/1990

Series 7

Date: 11/29/1990

Series 24

Date: 5/7/2002

Series 4

Date: 6/1/1998

Current Firm

ROSMAN ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROSMAN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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