Paul A. Rokosz

VALMARK ADVISERS

Plainville, MA 02762

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CRD#: 2349253

Professional summary

Paul Anthony Rokosz, who also goes by Paul A Rokosz, is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Plainville, Massachusetts and VALMARK SECURITIES, INC. located in Plainville, Massachusetts.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Paul has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul A Rokosz

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) Trove Private Wealth; 72 Taunton Street, Plainville, MA 02762; Wealth Manager; Financial planning, investment advisory, and insurance services; YES Investment Related; Start Date 4/2019; Approximately 40+ hrs. per month; Salary plus commissions and fees assigned to Trove on my behalf.///

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Rokosz'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

May 16, 2018 - Present

VALMARK ADVISERS, INC.

Office #1: 72 Taunton Street, Plainville, MA 02762Office #2: 1415 W. 22nd Street Tower Floor, Oak Brook, IL 60523

RIA

CRD#: 108050

Plainville, MA

Current

April 12, 2018 - Present

VALMARK SECURITIES, INC.

Office #1: 72 Taunton Street, Plainville, MA 02762Office #2: 1415 W. 22nd Street Tower Floor, Oak Brook, IL 60523

CRD#: 31243

Plainville, MA

Past

February 26, 2007 - July 16, 2007

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

PORTLAND, ME

Past

January 30, 2006 - July 2, 2007

ROXBURY CAPITAL MANAGEMENT LLC

RIA

CRD#: 108832

MINNETONKA, MN

Past

August 8, 2002 - November 30, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 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

Illinois
(4/13/2018)

IAR

Illinois
(5/16/2018)

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

Series 63

Date: 5/18/2018

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: 4/12/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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

Paul A. Rokosz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Rokosz's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALMARK SECURITIES, INC.

FORESIDE DISTRIBUTION SOLUTIONS, LLC

ROXBURY CAPITAL MANAGEMENT LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/2018

SIE

Date: 10/1/2018

Series 7

Date: 4/12/2018

FINRA

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

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