MR
Michael A. Rohling
GOLDEN STATE WEALTH MANAGEMENT
San Diego, CA 92127
Some features on this profile are disabled
CRD#: 4481928
MR
Professional summary
Michael Anthony Rohling is a registered financial advisor currently at GOLDEN STATE WEALTH MANAGEMENT, LLC located in San Diego, California and GOLDEN STATE EQUITY PARTNERS, LLC located in San Diego, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 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) 01/11/2012: Rohling Wealth Management, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)
(2) 04/11/2012: No Business Name - Real Estate Rental - Investment Related - Allied Gardens, CA 92120 - 1% Time Spent - I have a house that I will be renting out to a non customer.
(3) 10/28/2015: FIS Marketing - Non-Variable Insurance - Investment Related - 16870 W. Bernardo Dr Suite 400, SD CA 92127 - Start 09/30/2015 - 3 Hr/Mo; 3 Hour(s) During Securities Trading - Selling life insurance, Long Term care and Fixed Annuities through FIS marketing/IMO. This business does employ not securities-licensed individuals they act as a General Agency.
(4) 10/14/2016: Underwriting Services of America - Non-Variable Insurance - Investment Related - 16870 W. Bernardo Dr Suite 400, SD CA 92127 - Start 09/30/2015 - 3 Hr/Mo; 3 Hour(s) During Securities Trading - Selling life insurance, Long Term care and Fixed Annuities through Underwriting Services of America/IMO. This business does employ not securities-licensed individuals they act as a General Agency.
(5) 11/6/2017 - Home and Loan Finders - Investment Related - At Reported Business Location(s) - Mortgage/Real Estate Services - Mortgage Broker - Started 11/02/2017 - 2 Hour Per Month/1 Hour During Securities Trading.
(6) 8/7/2018 - Golden State Wealth Management, LLC - DBA: Golden State Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 07/30/2018 - 120 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in August 2018. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Anthony Rohling'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®
NoneExperience
Current
July 6, 2018 - Present
GOLDEN STATE WEALTH MANAGEMENT, LLC
Office #1: 70 W. Bernardo Dr. Suite 400, San Diego, CA 92127RIA
CRD#: 167995
San Diego, CA
Current
September 20, 2022 - Present
GOLDEN STATE EQUITY PARTNERS, LLC
Office #1: 16870 W. Bernardo Dr. Suite 400, San Diego, CA 92127RIA
CRD#: 322879
SAN DIEGO, CA
Current
August 7, 2009 - Present
LPL FINANCIAL LLC
Office #1: 6310 Greenwich Dr #150, San Diego, CA 92122RIA
BD
CRD#: 6413
San Diego, CA
Past
January 6, 2012 - October 12, 2018
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
SAN DIEGO, CA
Past
August 10, 2009 - March 27, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
June 1, 2009 - August 10, 2009
MORGAN STANLEY
RIA
CRD#: 149777
SAN DIEGO, CA
Past
June 1, 2009 - August 10, 2009
MORGAN STANLEY
BD
CRD#: 149777
SAN DIEGO, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN DIEGO, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN DIEGO, CA
Past
July 2, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SAN DIEGO, CA
Past
May 16, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SAN DIEGO, CA
Past
January 15, 2002 - April 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)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.RR
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
RR
California(8/7/2009)
IAR
California(7/6/2018)
RR
Colorado(8/7/2009)
RR
Idaho(9/10/2020)
RR
Minnesota(10/27/2025)
RR
Nevada(5/6/2016)
RR
Pennsylvania(1/6/2014)
RR
Texas(11/2/2023)
RR
Virginia(5/30/2012)
RR
Washington(7/23/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707
Mailing Address
Phone number
(866) 273-1563
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,434 |
| AUM (Assets Under Management) | $ 1,835,285,996 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GOLDEN STATE WEALTH MANAGEMENT, LLC
CRD#: 167995San Diego, CA 92127TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
