Craig A. Rose

AXIOM ASSET MANAGEMENT

Wayne, PA 19087

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CRD#: 2801975

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.

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.

AXIOM ASSET MGMT. INVESTMENT RELATED, 550 E. SWEDESFORD RD. STE. 110 WAYNE, PA 19087. RIA FIRM, INVESTMENT ADVISOR 160 HOURS/MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Alan Rose'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

December 20, 2007 - Present

AXIOM ASSET MANAGEMENT

Office #1: 550 E Swedesford Rd Suite 110, Wayne, PA 19087

RIA

CRD#: 145186

Wayne, PA

Past

February 19, 2004 - December 21, 2007

AXIOM ASSET MANAGEMENT, LLC

RIA

CRD#: 125691

RADNOR, PA

Past

June 20, 2003 - October 13, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Wayne, PA

Past

August 11, 2000 - July 18, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 8, 1996 - August 28, 2000

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

AXIOM ASSET MANAGEMENT

AXIOM ASSET MANAGEMENT | WEALTHTRUST AXIOM, LLC

CRD#: 145186 / SEC#: 801-68405

RIA

Registered Investment Advisory firm - (10/4/2007 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

Pennsylvania
(12/20/2007)

IAR

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 2/16/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/1997

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 11/7/1996

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 12/15/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

AXIOM ASSET MANAGEMENT

AXIOM ASSET MANAGEMENT | WEALTHTRUST AXIOM, LLC

CRD#: 145186 / SEC#: 801-68405

RIA

Registered Investment Advisory firm - (10/4/2007 Approved)

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Contact information

Main Address

550 E Swedesford Rd Suite 110, Wayne, PA 19087

Mailing Address

Phone number

(610) 688-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AXIOM ASSET MANAGEMENT FORM ADV PART 2A MARCH 31, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	598
AUM (Assets Under Management)	$ 802,765,223

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.

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Firm Stability Insights

Craig A. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Alan Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

AXIOM ASSET MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

AXIOM ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/16/2004

Series 63

Date: 11/13/1996

SIE

Date: 10/1/2018

Series 7

Date: 2/27/1997

Series 52

Date: 11/7/1996

Series 9

Date: 12/15/1999

Current Firm

AXIOM ASSET MANAGEMENT

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIOM ASSET MANAGEMENT

TRUST BUT VERIFY

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