MR
Michael J. Rose
ROSE CAPITAL ADVISORS
MIAMI BEACH, FL 33139
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CRD#: 2954324
MR
Professional summary
Michael Joseph Rose, CFP®, who also goes by Michael Rose, is a registered financial advisor currently at ROSE CAPITAL ADVISORS, LLC located in Miami Beach, Florida and SAXONY SECURITIES, INC. located in Miami Beach, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Rose
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.
1) ROSE CAPTIAL ADVISORS LLC (OBA) FOR INVESTMENT RELATED BUSINESS, 119 WASHINGTON AVE, SUITE 400, MIAMI BEACH, FL 33139; INVESTMENT ADVISORY BUSINESS; FINANCIAL ADVISOR; SINCE OCTOBER 2014; 160 HRS/MO; 160 HRS/MO DURING TRADING HOURS. CONDUCTS ADVISORY BUSINESS THROUGH RIA. 2) Castellan Holdings Manager, LLC (OBA) for Investment Related Business, 22 East 42nd Street, Suite 1903 New York, NY 10168; Consulting Services, Consultant, Since February 2022, 1-2 HRS/MO During Trading Hours. Provides various Consulting Services for Castellan. 3)Various Insurance Companies (OBA) for investment related business: 119 Washington Ave, Suite 400 Miami Beach, FL 33139; Non Variable Insurance Sales; Insurance Agent; Began 6/17/2022; 1-2 HRS/MO; Insurance Policy Sales.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Rose'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®
CFP®
Start date: 2012
Experience
Current
October 11, 2014 - Present
ROSE CAPITAL ADVISORS, LLC
Office #1: 119 Washington Avenue Suite 400, Miami Beach, FL 33139RIA
CRD#: 173054
MIAMI BEACH, FL
Current
March 8, 2014 - Present
SAXONY SECURITIES, INC.
Office #1: 119 Washington Avenue Suite 400, Miami Beach, FL 33139BD
CRD#: 115547
MIAMI BEACH, FL
Past
July 18, 2013 - March 13, 2014
FURTHER LANE SECURITIES, L.P.
BD
CRD#: 38162
NEW YORK, NY
Past
August 31, 2012 - February 5, 2015
TANDRAGEE GLOBAL ADVISORS, LLC
RIA
CRD#: 161572
Miami Beach, FL
Past
June 29, 2012 - July 2, 2013
SPIRE SECURITIES, LLC
BD
CRD#: 144131
MIAMI BEACH, FL
Past
October 30, 2009 - July 3, 2012
DOMINICK & DICKERMAN LLC
RIA
CRD#: 7344
MIAMI, FL
Past
March 4, 2005 - July 3, 2012
DOMINICK & DICKERMAN LLC
BD
CRD#: 7344
MIAMI, FL
Past
February 21, 2002 - February 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 21, 1998 - January 31, 2002
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
Past
November 13, 1997 - April 14, 1998
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
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".
RC
ROSE CAPITAL ADVISORS, LLC
ROSE CAPITAL ADVISORS, LLC | WEALTH CAPITAL PARTNERS | TANDRAGEE GLOBAL ADVISORS | SULZBERGER CAPITAL ADVISORS
CRD#: 173054 / SEC#: 801-80385
RIA
Registered Investment Advisory firm - (10/1/2014 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/29/2025)
RR
Arizona(3/8/2014)
RR
California(3/8/2014)
RR
Colorado(3/8/2014)
RR
Connecticut(3/31/2014)
RR
District of Columbia(3/8/2014)
RR
Florida(3/8/2014)
IAR
Florida(10/23/2014)
RR
Georgia(7/13/2017)
RR
Hawaii(1/27/2021)
RR
Illinois(1/18/2018)
RR
Louisiana(3/8/2014)
RR
Maryland(12/22/2020)
RR
Massachusetts(3/8/2014)
RR
Michigan(3/8/2014)
RR
Minnesota(9/20/2016)
RR
New Jersey(3/8/2014)
RR
New York(3/8/2014)
RR
North Carolina(10/29/2025)
RR
Ohio(10/29/2025)
RR
Pennsylvania(7/23/2018)
RR
South Carolina(6/30/2025)
RR
Texas(3/8/2014)
IAR
Texas(10/11/2014)
RR
Vermont(1/3/2023)
RR
Virginia(7/3/2014)
RR
Washington(12/7/2023)
RR
Wisconsin(11/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RC
ROSE CAPITAL ADVISORS, LLC
ROSE CAPITAL ADVISORS, LLC | WEALTH CAPITAL PARTNERS | TANDRAGEE GLOBAL ADVISORS | SULZBERGER CAPITAL ADVISORS
CRD#: 173054 / SEC#: 801-80385
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
119 Washington Avenue Suite 400, Miami Beach, FL 33139
Mailing Address
Phone number
(305) 534-7673
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 911 |
| AUM (Assets Under Management) | $ 663,626,570 |
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
ROSE CAPITAL ADVISORS, LLC
CRD#: 173054Miami Beach, FL 33139TRUST BUT VERIFY
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