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RR

Robert E. Rose

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CRD#: 404064
RR

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.

Robert Edmund Rose was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 4 firms and has passed the Series 65, Series 63 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 4, 2012 - June 22, 2012

CAPITAL ANALYSTS

RIA
CRD#: 162200
SHAKER HEIGHTS, OH
Past

June 1, 2012 - June 18, 2012

LINCOLN INVESTMENT

RIA
CRD#: 519
LA JOLLA, CA
Past

June 1, 2012 - June 18, 2012

LINCOLN INVESTMENT

BD
CRD#: 519
LA JOLLA, CA
Past

December 15, 1997 - June 1, 2012

CINCINNATI ANALYSTS, INC.

RIA
CRD#: 5478
LA JOLLA, CA
Past

October 16, 1968 - June 1, 2012

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
LA JOLLA, CA
Past

September 13, 1968 - November 5, 1976

C. A. MANAGEMENT CORPORATION

BD
CRD#: 136

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".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA
Registered Investment Advisory firm - (4/17/2012 Approved)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/4/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/16/1984
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 00
Date: 6/3/1968
General Securities Principal Examination

Current Firm

CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA
Registered Investment Advisory firm - (4/17/2012 Approved)
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Contact information

Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CAPITAL ANALYSTS, LLC FORM ADV PART 2A BROCHURE (8/13/2025)
CAPITAL ANALYSTS, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

Regulatory assets under management

Total Number of Accounts26,578
AUM (Assets Under Management)$ 8,713,202,466

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/28/2024
Cover Page
Report
09/27/2023
Cover Page
Report
03/29/2023
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.

Company Information

CAPITAL ANALYSTS

CRD#: 162200

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