Marvin B. Roffman

CRD#: 402607

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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Marvin Barry Roffman was a registered financial professional .

Marvin is a previously registered financial professional and started their career in finance in 1991. Marvin had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 16, 2009 - August 31, 2016

COSTELLO ASSET MANAGEMENT, INC.

RIA

CRD#: 123249

REHOBOTH BEACH, DE

Past

May 15, 1991 - April 25, 2008

ROFFMAN MILLER ASSOCIATES INC

RIA

CRD#: 106019

PHILADELPHIA, PA

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".

COSTELLO ASSET MANAGEMENT, INC.

CRD#: 123249 / SEC#: 801-106905

RIA

Registered Investment Advisory firm - (11/16/2015 Approved)

New Jersey

Registered Investment Advisory firm - (11/17/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

COSTELLO ASSET MANAGEMENT, INC.

CRD#: 123249 / SEC#: 801-106905

RIA

Registered Investment Advisory firm - (11/16/2015 Approved)

New Jersey

Registered Investment Advisory firm - (11/17/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/17/2015 Terminated)

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Contact information

Main Address

1234 Bridgetown Pike Suite 210, Feasterville, PA 19053

Mailing Address

Phone number

(215) 856-9290

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COSTELLO ASSET MANAGEMENT, INC. BROCHURE (3/9/2026)

Regulatory assets under management

Total Number of Accounts	988
AUM (Assets Under Management)	$ 388,549,245

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

Marvin B. Roffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COSTELLO ASSET MANAGEMENT, INC.

ROFFMAN MILLER ASSOCIATES INC

Primary Firm SEC Registration

COSTELLO ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Current Firm

COSTELLO ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COSTELLO ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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