Caroline Rose

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CRD#: 4598477

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.

Caroline Rose MS, who also goes by Caroline Knowlton, Carrie Derry Knowlton, was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 2007. Caroline had worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Caroline Knowlton | Carrie Derry Knowlton

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 27, 2007 - July 25, 2017

SECURE PLANNING, LLC

CRD#: 42179

PORTSMOUTH, NH

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".

SECURE PLANNING, LLC

FINN WEALTH ADVISORS | SECURE PLANNING, LLC | SECURE PLANNING, INC. | SECURE PLANNING INC | SECURE PLANNING

CRD#: 42179 / SEC#: 801-55630, 8-49737

RIA

Registered Investment Advisory firm - SEC (6/19/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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.

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

Series 63

Date: 12/3/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/26/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SECURE PLANNING, LLC

FINN WEALTH ADVISORS | SECURE PLANNING, LLC | SECURE PLANNING, INC. | SECURE PLANNING INC | SECURE PLANNING

CRD#: 42179 / SEC#: 801-55630, 8-49737

RIA

Registered Investment Advisory firm - SEC (6/19/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

42 Middle Street, Portsmouth, NH 03801

Mailing Address

42 Middle Street, Portsmouth, NH 03801

Phone number

(603) 433-5515

Established

New Hampshire since 10/10/1990

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

FINRA licenses (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SECURE PLANNING, LLC ADV DISCLOSURE BROCHURE (1/29/2025)

Direct owners and executive officers

Name	Position	CRD#
EDWARD J. MALLON REVOCABLE TRUST, EDWARD J MALLON TRUSTEE	OWNER
DUGAN, LISA ANNE	EXECUTIVE OFFICER	2979629
GENDRON, KAREN MARIE	FINOP	1503330
MALLON, EDWARD JOHN JR	PRESIDENT/TRUSTEE	317980
SMITH, JULIANNE MARY	CHIEF COMPLIANCE OFFICER	4751604

Regulatory assets under management

Total Number of Accounts	868
AUM (Assets Under Management)	$ 169,334,279

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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Caroline Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURE PLANNING, LLC

Primary Firm SEC Registration

SECURE PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/2007

SIE

Date: 7/25/2017

Series 6

Date: 6/26/2007

Current Firm

SECURE PLANNING, LLC

Contact information

SEC notice filing (8 States and Territories)

FINRA licenses (18 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

SECURE PLANNING, LLC

TRUST BUT VERIFY

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