James Rose

STEADTRUST

Sheridan, WY 82801

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CRD#: 4842996

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Rose's CRS (Customer Relationship Summary).

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

May 2, 2025 - Present

STEADTRUST

Office #1: 114 Decker Rd., Sheridan, WY 82801

RIA

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.

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".

STEADTRUST

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)

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: 5/10/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2005

General Securities Representative Examination

Current Firm

STEADTRUST

CRD#: 334416 / SEC#: 801-131951

RIA

Registered Investment Advisory firm - (2/10/2025 Approved)

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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

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - STEADTRUST (6/2/2025)

WRAP FEE BROCHURE- STEADTRUST (6/2/2025)

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.

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James Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH ADVISORS, INC.

UNITED ADVISORS SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

STEADTRUST

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2005

SIE

Date: 4/1/2015

Series 7

Date: 4/11/2005

Current Firm

STEADTRUST

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEADTRUST

TRUST BUT VERIFY

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