Rose C. Cooke

Some features on this profile are disabled

CRD#: 2498035

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.

Rose Catherine Cooke, who also goes by Rose Catherine Manziano, was a registered financial professional .

Rose is a previously registered financial professional and started their career in finance in 2000. Rose had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rose Catherine Manziano

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 13, 2011 - May 6, 2021

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

AUSTIN, TX

Past

September 9, 2010 - May 6, 2021

DFA SECURITIES LLC

CRD#: 10292

AUSTIN, TX

Past

August 13, 2009 - June 18, 2010

QUESTAR CAPITAL CORPORATION

CRD#: 43100

WEST PALM BEACH, FL

Past

June 26, 2007 - February 24, 2009

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

CRD#: 15654

NEW YORK, NY

Past

October 25, 2006 - July 11, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

October 19, 2006 - July 11, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

Past

December 1, 2005 - December 20, 2005

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

November 21, 2005 - December 19, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

STAMFORD, CT

Past

May 22, 2000 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

DIMENSIONAL FUND ADVISORS LP

DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.

CRD#: 106482 / SEC#: 801-16283

RIA

Registered Investment Advisory firm - (8/26/1981 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/7/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/2024

General Securities Principal Examination

Current Firm

DIMENSIONAL FUND ADVISORS LP

DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.

CRD#: 106482 / SEC#: 801-16283

RIA

Registered Investment Advisory firm - (8/26/1981 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

6300 Bee Cave Road Building One, Austin, TX 78746

Mailing Address

Phone number

(512) 306-7400

Established

Firm type

Fiscal year end

# of Employees

1,135

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DIMENSIONAL FUND ADVISORS LP FORM ADV PART 2A - ANNUAL AMENDMENT DATED MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,611
AUM (Assets Under Management)	$ 835,713,261,770

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rose C. Cooke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DFA SECURITIES LLC

QUESTAR CAPITAL CORPORATION

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

DIMENSIONAL FUND ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/7/2011

Series 63

Date: 8/12/2000

Series 7TO

Date: 3/29/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2000

Series 24

Date: 3/29/2024

Current Firm

DIMENSIONAL FUND ADVISORS LP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIMENSIONAL FUND ADVISORS LP

TRUST BUT VERIFY

Similar Advisors