SR
Scott P. Roseman
ROSEMAN WAGNER WEALTH MANAGEMENT
Rocklin, CA 95677
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 Rocklin, California.
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.
ROSEMAN WAGNER WEALTH MANAGEMENT. INVESTMENT ADVISOR SERVICES. FULL TIME. FEE BASED ADVISOR. SECURITIES RELATED. 40 HOURS PER WEEK. ROSEMAN WAGNER PARTNER LP. SECURITIES RELATED. 10 HOURS PER WEEK. 4970 ROCKLIN ROAD SUITE 200 LOOMIS, CA 95677. PAID FROM PROFITS. STARTED 08/31/2012 ROSEMAN WAGNER GP, LLC. SECURITIES RELATED. ACTS AS GP FOR THE ROSEMAN WAGNER PARTNERS LP. 0 HOURS OF ACTIVITY. STARTED 08/31/2012 ROSEMAN WAGNER PROPERTIES, LLC. NON-INVESTMENT RELATED. 0 HOURS OF ACTIVITY. STARTED 03/2015 The Scott and Tara Roseman Foundation, start date of 10/2015, 4970 Rocklin Road, Suite 200, Rocklin, CA 95677, corporate/non profit, director, duties involve all aspects of charitable foundation, 4 hours spent per month, zero hours during trading hours, non investment related. Honcut Creek Ranch, P.O. Box 2424, Marysville, CA 95901, rice farming, joint venture interest, start date of March 16, 2017, 1 hour per month during trading hours, not investment related, compensated by profits via K1 Board of Director, Non Profit, Ramirez Water District, P.O. Box 124, Marysville, CA, 3 hours per month, 0 hours during trading hours, duties include review of financial statements and approve board minutes. Not investment related The Nines Land & Livestock LLC; not investment-related; 4970 Rocklin Road, Suite 200, Rocklin, CA 95677; acquisition and sale of land and cattle; manager; various buy and sell decisions on land and livestock; operational decisions and bookkeeping; start date: 08/28/2020; 10 hours/month; 5 hours/month inside securities trading hours. R Horses LLC; Member; Start Date 02/2023; Loomis, CA; Horse cutting business; 8 hours a month spent. 1584 Construction Co LLC; Member; Start date 02/2023; Pinedale, WY; LLC for constructions of house in WY; 40 hours per month spent.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Patrick Roseman'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®
NoneExperience
Current
September 19, 2008 - Present
ROSEMAN WAGNER WEALTH MANAGEMENT
Office #1: 4970 Rocklin Road Suite 200, Rocklin, CA 95677RIA
CRD#: 148221
Rocklin, CA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
Regulatory assets under management
| Total Number of Accounts | 1,473 |
| 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#: 148221Rocklin, CA 95677TRUST BUT VERIFY
Monitor Scott Roseman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
