Mark P. Rosenbaum

COLDSTREAM WEALTH MANAGEMENT

Portland, OR 97201

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CRD#: 2618230

Professional summary

Mark Phillip Rosenbaum is a registered financial advisor currently at COLDSTREAM WEALTH MANAGEMENT located in Portland, Oregon.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Mark has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 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.

*Mark's primary business activity is working as a registered investment advisor for Coldstream Wealth Management. He is also a licensed insurance producer with licenses in Life, Variable Life, and Health insurance types. *TUALITY COMMUNITY HOSPITAL; NON-INV REL; 334 SE 8TH AVE, HILLSBORO, OR 97123; HOSPITAL; BOARD MEMBER; HRS/MO=4; TRADING HRS/MO=0; BOARD PARTICIPATION, POLICY, BUDGET; *OREGON JEWISH COMMUNITY FOUNDATION; NON-INV REL; OREGON; COMMUNITY FOUNDATION; BOARD MEMBER; START DATE=09/2009; HRS/MO=2; TRADING HRS/MO=0; BOARD MEMBER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Phillip Rosenbaum'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

October 11, 2021 - Present

COLDSTREAM WEALTH MANAGEMENT

Office #1: 150 Sw Harrison St. Suite 300, Portland, OR 97201

RIA

CRD#: 108805

Portland, OR

Past

January 9, 2015 - March 31, 2022

ROSENBAUM FINANCIAL

RIA

CRD#: 173805

PORTLAND, OR

Past

June 30, 2006 - June 13, 2016

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

PORTLAND, OR

Past

June 30, 2006 - June 13, 2016

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

PORTLAND, OR

Past

August 3, 2001 - June 30, 2006

CARILLON INVESTMENTS, INC.

RIA

CRD#: 14646

PORTLAND, OR

Past

April 20, 2000 - June 30, 2006

CARILLON INVESTMENTS, INC.

CRD#: 14646

PORTLAND, OR

Past

August 30, 1996 - April 26, 2000

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

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".

COLDSTREAM WEALTH MANAGEMENT

COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC

CRD#: 108805 / SEC#: 801-39379

RIA

Registered Investment Advisory firm - (7/23/1991 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

Oregon
(10/11/2021)

IAR

Washington
(10/11/2021)

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 66

Date: 12/4/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/8/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/9/2002

Investment Company Products/Variable Contracts Principal Examination

Current Firm

COLDSTREAM WEALTH MANAGEMENT

COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC

CRD#: 108805 / SEC#: 801-39379

RIA

Registered Investment Advisory firm - (7/23/1991 Approved)

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Contact information

Main Address

One - 100th Avenue Ne Suite 102, Bellevue, WA 98004

Mailing Address

Phone number

(425) 283-1600

Established

Firm type

Fiscal year end

# of Employees

195

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV - PART 2A - CWM - 2025 06 17 (6/17/2025)

Regulatory assets under management

Total Number of Accounts	4,519
AUM (Assets Under Management)	$ 12,438,532,202

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
08/27/2024	Cover Page	Report
09/29/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Mark P. Rosenbaum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Phillip Rosenbaum's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSENBAUM FINANCIAL

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

CARILLON INVESTMENTS, INC.

CARILLON INVESTMENTS, INC.

SENTRA SECURITIES CORPORATION

Primary Firm SEC Registration

COLDSTREAM WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2000

Series 63

Date: 7/15/1996

SIE

Date: 6/13/2016

Series 7

Date: 11/2/2000

Series 6

Date: 8/8/1996

Series 26

Date: 7/9/2002

Current Firm

COLDSTREAM WEALTH MANAGEMENT

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COLDSTREAM WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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