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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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SR

Scott P. Roseman

ROSEMAN WAGNER WEALTH MANAGEMENT
PINEDALE, WY 82941
Some features on this profile are disabled
CRD#: 2491620
SR

Professional summary

Scott Patrick Roseman is a registered financial advisor currently at ROSEMAN WAGNER WEALTH MANAGEMENT located in Pinedale, Wyoming.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Scott has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Patrick Roseman'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

September 19, 2008 - Present

ROSEMAN WAGNER WEALTH MANAGEMENT

Office #1: 115 Country Club Lane, Pinedale, WY 82941
RIA
CRD#: 148221
PINEDALE, WY
Past

September 23, 2008 - November 1, 2021

SILVER OAK SECURITIES, INCORPORATED

BD
CRD#: 46947
Rocklin, CA
Past

July 8, 1997 - October 2, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
FOLSOM, CA
Past

June 7, 1994 - October 2, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FOLSOM, CA

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".
RW
ROSEMAN WAGNER WEALTH MANAGEMENT
ROSEMAN WAGNER WEALTH MANAGEMENT | RWWM, INC. | RW, INC.

CRD#: 148221 / SEC#: 801-69561

RIA
Registered Investment Advisory firm - (9/16/2008 Approved)

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
California
(9/19/2008)
IAR
Texas
(8/9/2011)
IAR
Utah
(12/11/2008)
IAR
Wyoming
(9/3/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/14/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/1994
General Securities Representative Examination

Current Firm

RW
ROSEMAN WAGNER WEALTH MANAGEMENT
ROSEMAN WAGNER WEALTH MANAGEMENT | RWWM, INC. | RW, INC.

CRD#: 148221 / SEC#: 801-69561

RIA
Registered Investment Advisory firm - (9/16/2008 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4970 Rocklin Road Suite 200, Rocklin, CA 95677
Mailing Address
Phone number
(916) 652-1525
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RWWM - FORM ADV PART 2A - FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts1,473
AUM (Assets Under Management)$ 1,302,853,734

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.

Company Information

ROSEMAN WAGNER WEALTH MANAGEMENT

CRD#: 148221Pinedale, WY 82941

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Contact information

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