Craig Alan Rose
Professional Summary
Craig Alan Rose is a registered financial advisor currently at AXIOM ASSET MANAGEMENT located in Wayne, Pennsylvania. Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Craig has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AXIOM ASSET MANAGEMENT | WEALTHTRUST AXIOM, LLC
Contact Information
Main Address
550 E Swedesford Rd Suite 110, Wayne, PA 19087Phone Number
(610) 688-0050# of Employees
5SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
614AUM (Assets Under Management)
$899,555,956Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AXIOM ASSET MANAGEMENT | WEALTHTRUST AXIOM, LLC
State Registrations and Notice Filings
(12/20/2007)
(9/29/2008)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 1999About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Craig Alan Rose's CRS (Customer Relationship Summary).
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