Heidi L. Rose

CARNEGIE INVESTMENT COUNSEL

Cincinnati, OH 45206

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CRD#: 3003909

Professional summary

Heidi Leann Rose, CFP®, who also goes by Heidi Leann Lawson, Heidi Leann Simpson, is a registered financial advisor currently at CARNEGIE INVESTMENT COUNSEL located in Cincinnati, Ohio.

Heidi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Heidi has worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heidi Leann Lawson | Heidi Leann Simpson

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.

RESIDENTIAL RENTAL PROPERTY OWNER; NOT INVESTMENT RELATED; < ONE HOUR PER MONTH; START DATE: 08/1998; ADDRESS: 322 GRANDVIEW AVE, BELLEVUE, KY 41073

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heidi Leann 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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

June 3, 2013 - Present

CARNEGIE INVESTMENT COUNSEL

Office #1: 2142 Alpine Place, Cincinnati, OH 45206

RIA

CRD#: 150488

Cincinnati, OH

Past

April 10, 2012 - May 15, 2013

THE ALPINE FINANCIAL GROUP

RIA

CRD#: 119451

CINCINNATI, OH

Past

February 12, 1998 - May 8, 2000

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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".

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 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

Kentucky
(11/19/2013)

IAR

Ohio
(6/3/2013)

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

Series 63

Date: 2/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/11/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 Approved)

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Contact information

Main Address

30300 Chagrin Boulevard, Pepper Pike, OH 44124

Mailing Address

Phone number

(216) 367-4114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARNEGIE FORM ADV PART 2A 03-31-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	8,127
AUM (Assets Under Management)	$ 6,520,130,588

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
07/13/2023	Cover Page	Report
02/08/2023	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.

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Heidi L. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heidi Leann Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARNEGIE INVESTMENT COUNSEL

THE ALPINE FINANCIAL GROUP

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

CARNEGIE INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 63

Date: 2/25/1998

Series 6

Date: 2/11/1998

Current Firm

CARNEGIE INVESTMENT COUNSEL

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARNEGIE INVESTMENT COUNSEL

TRUST BUT VERIFY

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