Rosanne Roge
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.
Rosanne Roge, who also goes by Rosanne Fitzmartin, Rosanne Grande, Rosanne Regan, was a registered financial professional .
Rosanne is a previously registered financial professional and started their career in finance in 1993. Rosanne had worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2024 - January 17, 2025
FINLEY WEALTH ADVISORS
February 8, 2021 - July 8, 2024
R.W. ROGE & COMPANY, INC
April 6, 1993 - December 31, 1995
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
FINLEY WEALTH ADVISORS
CRD#: 142776 / SEC#: 801-131760
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FINLEY WEALTH ADVISORS
CRD#: 142776 / SEC#: 801-131760
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 119,512,876 |
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.
