Wilson Frederick Rosebraugh
Professional Summary
Wilson Frederick Rosebraugh is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Cincinnati, Ohio and KESTRA INVESTMENT SERVICES, LLC located in Cincinnati, Ohio. Wilson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Wilson has worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 7, Series 6, Series 4, Series 53, Series 24,...
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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
27 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
Contact Information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735Phone Number
(844) 553-7872# of Employees
1,359SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
192,439AUM (Assets Under Management)
$79,798,091,767Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | Cover Page | Report |
| 12/23/2024 | Cover Page | Report |
| 10/20/2023 | Cover Page | Report |
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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
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
State Registrations and Notice Filings
(10/5/2012)
(3/15/2021)
(11/27/2013)
(10/5/2012)
(2/27/2024)
(10/5/2012)
(1/31/2022)
(10/5/2012)
(10/5/2012)
(10/5/2012)
(6/21/2024)
(10/5/2012)
(6/7/2016)
(10/5/2012)
(4/19/2016)
(12/2/2021)
(10/5/2012)
(7/27/2023)
(11/7/2012)
(2/10/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Mar 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1999About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 2022About the Series 26 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2008About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2008About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Wilson Frederick Rosebraugh's CRS (Customer Relationship Summary).
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