JR
James Rose
STEADTRUST
Sheridan, WY 82801
Some features on this profile are disabled
CRD#: 4842996
JR
Professional summary
James Rose is a registered financial advisor currently at STEADTRUST located in Sheridan, Wyoming.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 4 firms and has passed the Series 66, SIE 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) CENTAUR CAPITAL LLC, DAYTON, WY - OTHER FAMILY INVESTMENTS / MANAGE INVESTMENTS / START DATE 2003, DUTIES - CO-ADMINISTER FAMILY INVESTMENTS F/B/O MR. ROSE'S CHILDREN. 2) CENTAUR INVESTMENTS. DAYTON, WY. NOT INVESTMENT RELATED.BUSINESS - OIL/GAS INVESTMENTS. START DATE - 06/01/2003. .5 HRS/MONTH. NO SECURITIES TRADING HRS. DUTIES - REVIEW OIL/GAS WELLS 3) INDIAN ROCK CORP / 170 MASON STREET GREENWICH, CT 06830 / COMPANY/ OFFICER / DUTIES - CLOSING DOWN ENTITY / START DATE 8/4/2004. THIS WAS A FAMILY OFFICE ESTABLISED BY HIS GRANDPARENTS THAT CEASED OPERATING IN 2008. THE ENTITY IS STILL OPEN FOR TAX PLANNING AND ESTATE PURPOSES. JAMES DOES NOT HAVE A ROLE IN MANAGING. 4) JAMES SR ROSE TRUST, RR IS AN INCOME BENEFICIARY FROM THE TRUST AND HAS NO AUTHORITY OVER THE TRUST. 5) 2 THE SKY LLC, TREE FARM, MANAGEMENT PARTNER, BUFFALO, WV, 1 HR PER MONTH, ZERO DURING TRADING HRS., NOT INVESTMENT RELATED. 6) RDL WEALTH MANAGEMENT; INVESTMENT RELATED; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH STEADTRUST, INC START DATE 2015; 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS. 7) BTB CAPITAL LLC - THIS ENTITY WAS ESTABLISHED IN 2025 TO HOLD AN INVESTMENT ACCOUNT THAT JAMES IS THE BENEFICIAL OWNER THAT RESULTED FROM A DIVORCE. THE ACCOUNT IS HELD BY THE FIRM.
CRS (Client Relationship Summary) - RIA
Click below to view James Rose'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
May 2, 2025 - Present
STEADTRUST
Office #1: 114 Decker Rd., Sheridan, WY 82801RIA
CRD#: 334416
Sheridan, WY
Past
September 18, 2020 - May 29, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Sheridan, WY
Past
May 27, 2015 - September 22, 2020
UNITED ADVISORS SERVICES, LLC
RIA
CRD#: 150080
DAYTON, WY
Past
August 8, 2005 - April 1, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
April 12, 2005 - April 1, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
ST
STEADTRUST
CADDIE FINANCIAL PLANNING | STEADTRUST, LLC | STEADTRUST LLC | STEADTRUST | RDL WEALTH | CONCORD FINANCIAL GROUP
CRD#: 334416 / SEC#: 801-131951
RIA
Registered Investment Advisory firm - (2/10/2025 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.Highlighted states indicate IAR registrations
IAR
Texas(5/2/2025)
IAR
Wyoming(5/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
ST
STEADTRUST
CADDIE FINANCIAL PLANNING | STEADTRUST, LLC | STEADTRUST LLC | STEADTRUST | RDL WEALTH | CONCORD FINANCIAL GROUP
CRD#: 334416 / SEC#: 801-131951
RIA
Registered Investment Advisory firm - (2/10/2025 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Allen, TX
Mailing Address
Po Box 669, Allen, TX 75013
Phone number
(972) 876-8422
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,018 |
| AUM (Assets Under Management) | $ 438,883,769 |
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.
