Rosa M. Llivina

STRATEGIC ADVISERS LLC | Financial Consultant

HOUSTON, TX

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CRD#: 3173711

Professional summary

Rosa Maria Llivina is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Houston, Texas and FIDELITY BROKERAGE SERVICES LLC located in Houston, Texas.

Rosa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Rosa has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Biography

I assist High Net Worth investors with developing, implementing, and monitoring financial plans. 

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosa Maria Llivina'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

Education

InterAmerican University

Master of Business Administration (MBA) - Management

1998

Texas A & M University

Bachelor of Business Administration - Management

1995

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 4410 Westheimer Rd Ste B-100, Houston, TX 77027-4837

RIA

CRD#: 104555

HOUSTON, TX

Current

March 16, 2009 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 4410 Westheimer Rd Ste B-100, Houston, TX 77027-4812

CRD#: 7784

Houston, TX

Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

HOUSTON, TX

Past

April 2, 2009 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

HOUSTON, TX

Past

January 18, 2006 - February 27, 2009

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

HOUSTON, TX

Past

November 17, 2005 - February 27, 2009

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

HOUSTON, TX

Past

August 2, 2001 - September 22, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SUGAR LAND, TX

Past

August 2, 2001 - September 22, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 19, 1999 - July 2, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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.

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

Alabama
(10/7/2019)

Alaska
(8/13/2021)

Arkansas
(11/20/2014)

California
(1/4/2019)

Colorado
(10/9/2014)

Florida
(1/3/2014)

Hawaii
(1/4/2025)

Illinois
(6/6/2022)

Kansas
(4/23/2020)

Louisiana
(3/24/2009)

Maryland
(9/18/2020)

Massachusetts
(1/4/2025)

Michigan
(4/9/2021)

Missouri
(10/7/2019)

Nevada
(5/13/2015)

New Mexico
(3/17/2015)

New York
(1/5/2018)

North Carolina
(3/18/2015)

Ohio
(8/21/2024)

Oklahoma
(3/8/2016)

Oregon
(4/9/2021)

South Carolina
(1/4/2024)

Tennessee
(1/4/2025)

Texas
(3/16/2009)

IAR

Texas
(3/31/2025)

Utah
(9/20/2019)

Virginia
(3/17/2015)

Washington
(1/4/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1999

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: 3/1/1999

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Rosa M. Llivina

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosa Maria Llivina's CRS (Customer Relationship Summary).

Certified licenses

Education

InterAmerican University

Texas A & M University

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/1999

Series 63

Date: 3/19/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/1/1999

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Contact information

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