Charles J. Rose

GRANITE ROSE WEALTH ALLIANCE LLC

FAIRFIELD, NJ 07004

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CRD#: 4358927

Professional summary

Charles John Rose JR., CFP®, CIMA®, who also goes by Chuck Rose, is a registered financial advisor currently at GRANITE ROSE WEALTH ALLIANCE LLC located in Fairfield, New Jersey.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Charles has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck Rose

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. Fixed insurance sales, as an Agent; As of 02/21/2019; Approximately 10% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Tax Preparer/Associate, Koslow CPA, providing tax preparation services; As of 01/01/20; 1% time spent during regular business hours; Conducted at branch; Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles John Rose JR.'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®

CFP^®

Certified Financial Planner

Start date: 2019

CIMA^®

Certified Investment Management Analyst

Experience

Current

February 23, 2024 - Present

GRANITE ROSE WEALTH ALLIANCE LLC

Office #1: 350 Passaic Avenue, Suite 103, Fairfield, NJ 07004

RIA

CRD#: 328115

FAIRFIELD, NJ

Past

October 23, 2020 - March 22, 2024

CLARUS GROUP LLC

RIA

CRD#: 310156

NEW YORK, NY

Past

February 22, 2019 - September 2, 2020

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Freehold, NJ

Past

February 21, 2019 - September 2, 2020

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Freehold, NJ

Past

April 27, 2018 - March 21, 2019

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

West Caldwell, NJ

Past

April 24, 2018 - March 21, 2019

J.W. COLE FINANCIAL, INC.

CRD#: 124583

West Caldwell, NJ

Past

November 30, 2015 - November 10, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

DENVER, CO

Past

November 27, 2015 - November 10, 2017

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

November 27, 2015 - November 10, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

DENVER, CO

Past

November 27, 2015 - November 10, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

November 27, 2015 - November 10, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

July 26, 2002 - September 9, 2015

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

March 20, 2001 - September 9, 2015

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

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

New Jersey
(2/23/2024)

IAR

Texas
(5/8/2024)

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 66

Date: 5/11/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/22/2014

General Securities Principal Examination

Current Firm

GRANITE ROSE WEALTH ALLIANCE LLC

CRD#: 328115 / SEC#:

New Jersey

Registered Investment Advisory firm - (2/23/2024 Approved)

Texas

Registered Investment Advisory firm - (4/18/2024 Conditional Restricted)

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Contact information

Main Address

350 Passaic Avenue, Suite 103, Fairfield, NJ 07004

Mailing Address

Phone number

(973) 952-6466

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	217
AUM (Assets Under Management)	$ 21,463,749

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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Advisor Monitoring

Firm Stability Insights

Charles J. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles John Rose JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

CLARUS GROUP LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

NATIONAL PLANNING CORPORATION

SII INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

INVESTMENT CENTERS OF AMERICA, INC.

INVEST FINANCIAL CORPORATION

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2001

Series 24

Date: 5/22/2014

Current Firm

GRANITE ROSE WEALTH ALLIANCE LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GRANITE ROSE WEALTH ALLIANCE LLC

TRUST BUT VERIFY

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