Preston A. Rosamond

THE ROSAMOND FINANCIAL GROUP WEALTH MANAGEMENT

Marble Falls, TX 78654

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CRD#: 4343488

Professional summary

Preston Andrew Rosamond is a registered financial advisor currently at THE ROSAMOND FINANCIAL GROUP WEALTH MANAGEMENT, LLC located in Marble Falls, Texas.

Preston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Preston has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

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.

(1) THE ROSAMOND FINANCIAL GROUP, LLC; SINCE 04/01/2009; SAME AS BRANCH ADDRESS; PRESIDENT; Writing checks, paying payroll, rent, utilities, etc. Any other activities associated with runnning the day to day operations of my office; 40 HOURS SPENT ON ACTIVITY PER MONTH (2) RFG Family Office, LLC; Investment related: No; 608 N. US HWY 281, SUITE 103 MARBLE FALLS TX 78654; Providing operating advice and help to businesses such as administrative organization, organizing their finances, budgeting, records and processes.; MANAGER; Overseeing clients and recommending processes and procedures to organize their business.; Start date: 2024-10-16; 40 Hours per month during trading hours; 40 Hours per month outside trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston Andrew Rosamond's 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

Experience

Current

February 15, 2018 - Present

THE ROSAMOND FINANCIAL GROUP WEALTH MANAGEMENT, LLC

Office #1: 608 N. Us Hwy 281 Suite 103, Marble Falls, TX 78654

RIA

CRD#: 290902

Marble Falls, TX

Past

June 18, 2009 - July 11, 2018

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

MARBLE FALLS, TX

Past

April 17, 2009 - May 1, 2009

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

MARBLE FALLS, TX

Past

April 17, 2009 - July 11, 2018

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

MARBLE FALLS, TX

Past

August 22, 2006 - April 14, 2009

EDWARD JONES

RIA

CRD#: 250

KINGSLAND, TX

Past

March 27, 2001 - April 14, 2009

EDWARD JONES

CRD#: 250

KINGSLAND, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(2/15/2018)

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

State Security Law Exam

IAR

Series 65

Date: 8/18/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/26/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/17/2009

General Securities Principal Examination

Current Firm

THE ROSAMOND FINANCIAL GROUP WEALTH MANAGEMENT, LLC

CRD#: 290902 / SEC#:

Texas

Registered Investment Advisory firm - (2/15/2018 Approved)

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Contact information

Main Address

608 N. Us Hwy 281 Suite 103, Marble Falls, TX 78654

Mailing Address

Phone number

(830) 798-9400

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	286
AUM (Assets Under Management)	$ 69,086,822

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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Preston A. Rosamond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston Andrew Rosamond's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT FINANCIAL GROUP INC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 8/18/2006

Series 63

Date: 3/29/2001

SIE

Date: 7/11/2018

Series 7

Date: 3/26/2001

Series 24

Date: 10/17/2009

Current Firm

THE ROSAMOND FINANCIAL GROUP WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE ROSAMOND FINANCIAL GROUP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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