Steven G. Rotello

MOSAIC WEALTH

Greenwood Village, CO 80111

Some features on this profile are disabled

CRD#: 4228803

Professional summary

Steven Gregory Rotello, CFP®, who also goes by Steve G Rotello, is a registered financial advisor currently at MOSAIC WEALTH located in Greenwood Village, Colorado and PURSHE KAPLAN STERLING INVESTMENTS located in Greenwood Village, Colorado.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve G Rotello

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 Steven Gregory Rotello'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: 2007

Experience

Current

January 4, 2022 - Present

MOSAIC WEALTH

Office #1: 6400 S. Fiddler's Green Circle Suite 1760, Greenwood Village, CO 80111

RIA

CRD#: 317377

Greenwood Village, CO

Current

November 10, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 6400 S. Fiddler's Green Circle Suite 1760, Greenwood Village, CO 80111

CRD#: 35747

Greenwood Village, CO

Past

November 10, 2017 - January 3, 2022

MOSAIC FAMILY WEALTH, LLC

RIA

CRD#: 170923

GREENWOOD VILLAGE, CO

Past

September 5, 2008 - November 27, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

September 5, 2008 - November 27, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DENVER, CO

Past

January 1, 2008 - September 19, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BROOMFIELD, CO

Past

January 1, 2008 - September 19, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BROOMFIELD, CO

Past

April 13, 2001 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

BROOMFIELD, CO

Past

October 5, 2000 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

BROOMFIELD, CO

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".

MOSAIC WEALTH

MOSAIC FAMILY WEALTH | MOSAIC WEALTH | MOSAIC FAMILY WEALTH PARTNERS, LLC

CRD#: 317377 / SEC#: 801-122745

RIA

Registered Investment Advisory firm - (11/24/2021 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

Arizona
(11/2/2023)

California
(11/10/2017)

Colorado
(11/10/2017)

IAR

Colorado
(1/4/2022)

Florida
(11/10/2017)

Georgia
(11/10/2017)

Illinois
(11/10/2017)

Kansas
(11/10/2017)

Maryland
(11/2/2023)

Missouri
(11/10/2017)

Montana
(11/10/2017)

Ohio
(11/10/2017)

Oregon
(11/10/2017)

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 66

Date: 11/2/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/12/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/4/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MOSAIC WEALTH

MOSAIC FAMILY WEALTH | MOSAIC WEALTH | MOSAIC FAMILY WEALTH PARTNERS, LLC

CRD#: 317377 / SEC#: 801-122745

RIA

Registered Investment Advisory firm - (11/24/2021 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1401 S. Brentwood Blvd. Suite 630, St. Louis, MO 63144

Mailing Address

Phone number

(314) 627-5220

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MOSAIC FAMILY WEALTH PARTNERS, LLC (3/24/2025)

Regulatory assets under management

Total Number of Accounts	4,296
AUM (Assets Under Management)	$ 1,638,336,784

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/02/2025	Cover Page	Report
10/29/2024	Cover Page	Report
11/27/2023	Cover Page	Report
01/30/2023	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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven G. Rotello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Gregory Rotello's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOSAIC WEALTH

PURSHE KAPLAN STERLING INVESTMENTS

MOSAIC FAMILY WEALTH, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

MOSAIC WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 11/2/2000

SIE

Date: 10/1/2018

Series 31

Date: 1/12/2009

Series 7

Date: 10/4/2000

FINRA

Current Firm

MOSAIC WEALTH

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MOSAIC WEALTH

TRUST BUT VERIFY

Similar Advisors