Mark E. Rosier

VOYA FINANCIAL ADVISORS

Daytona Beach, FL

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CRD#: 2137175

Professional summary

Mark Edward Rosier is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Daytona Beach, Florida.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

1. 3/5/2018 - VyStar Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Rosier's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark Edward Rosier'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

January 8, 2024 - Present

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Daytona Beach, FL

Current

January 8, 2024 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #1: One Orange Way, C4-s, Windsor, CT 06095

RIA

CRD#: 2882

Windsor, CT

Past

April 9, 2018 - November 27, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

JACKSONVILLE, FL

Past

March 6, 2018 - November 27, 2023

LPL FINANCIAL LLC

CRD#: 6413

JACKSONVILLE, FL

Past

March 23, 2017 - February 7, 2018

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

TALLAHASSEE, FL

Past

March 16, 2017 - February 7, 2018

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ORLANDO, FL

Past

February 28, 2017 - April 19, 2017

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

TALLAHASSEE, FL

Past

February 16, 2017 - April 19, 2017

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Westport, CT

Past

October 17, 2006 - July 24, 2017

SOURCE CAPITAL GROUP, INC.

RIA

CRD#: 36719

TALLAHASSEE, FL

Past

September 2, 2003 - October 17, 2006

SOURCE CAPITAL MANAGEMENT

RIA

CRD#: 111967

TALLAHASSEE, FL

Past

December 17, 2001 - April 24, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

July 9, 2001 - December 18, 2001

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

August 1, 1997 - July 9, 2001

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

January 1, 1997 - October 28, 1997

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

April 2, 1996 - December 24, 1996

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

March 15, 1993 - December 31, 1995

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

April 26, 1991 - April 1, 1993

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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

Connecticut
(1/8/2024)

IAR

Connecticut
(1/8/2024)

Florida
(1/8/2024)

IAR

Florida
(1/10/2024)

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: 3/11/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/24/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

One Orange Way, Windsor, CT 06095

Phone number

+1 (800) 356-2906

Established

Minnesota since 04/26/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

563

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

Regulatory assets under management

Total Number of Accounts	11,854
AUM (Assets Under Management)	$ 2,744,735,129

Disclosures

Regulatory Event	36
Arbitration	9

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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Advisor Monitoring

Firm Stability Insights

Mark E. Rosier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Rosier's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark Edward Rosier's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

TRUST ADVISORY GROUP LTD

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL MANAGEMENT

SOURCE CAPITAL GROUP, INC.

AMSOUTH INVESTMENT SERVICES, INC.

MERIT CAPITAL ASSOCIATES, INC.

BARNETT INVESTMENTS, INC.

MERIT CAPITAL ASSOCIATES, INC.

CUNA BROKERAGE SERVICES, INC.

WADDELL & REED

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/2003

Series 63

Date: 6/17/1994

SIE

Date: 10/1/2018

Series 7

Date: 3/30/1993

Series 6

Date: 4/24/1991

FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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