Franklin L. Matute

ROSEROCK WEALTH MANAGEMENT

Dallas, TX 75225

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CRD#: 5147408

Professional summary

Franklin Leonardo Matute, CFP® is a registered financial advisor currently at ROSEROCK WEALTH MANAGEMENT, LLC located in Dallas, Texas.

Franklin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Franklin 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.

Board member of Dallas/Fort Worth Financial Planning Association Board. Investment related. 2 hours per month. Advocacy role for government relations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Franklin Leonardo Matute'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

September 21, 2018 - Present

ROSEROCK WEALTH MANAGEMENT, LLC

Office #1: 5950 Sherry Lane Suite 201, Dallas, TX 75225

RIA

CRD#: 288088

Dallas, TX

Past

December 23, 2016 - January 2, 2019

LEE FINANCIAL COMPANY, LLC

RIA

CRD#: 105910

DALLAS, TX

Past

May 21, 2014 - December 18, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

DALLAS, TX

Past

May 6, 2014 - December 18, 2015

LPL FINANCIAL LLC

CRD#: 6413

DALLAS, TX

Past

September 17, 2012 - April 1, 2014

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

COPPELL, TX

Past

July 18, 2011 - September 26, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

COPPELL, TX

Past

October 11, 2010 - September 26, 2012

LPL FINANCIAL LLC

CRD#: 6413

COPPELL, TX

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".

ROSEROCK WEALTH MANAGEMENT, LLC

ROSEROCK WEALTH MANAGEMENT LLC | ROSEROCK WEALTH MANAGEMENT, LLC

CRD#: 288088 / SEC#: 801-120698

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (2/24/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(9/21/2018)

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: 7/16/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2010

General Securities Representative Examination

Current Firm

ROSEROCK WEALTH MANAGEMENT, LLC

ROSEROCK WEALTH MANAGEMENT LLC | ROSEROCK WEALTH MANAGEMENT, LLC

CRD#: 288088 / SEC#: 801-120698

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (2/24/2022 Terminated)

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Contact information

Main Address

5950 Sherry Lane Suite 201, Dallas, TX 75225

Mailing Address

Phone number

(214) 220-8989

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROSEROCK WEALTH MANAGEMENT, LLC FORM ADV2A, FORM ADV2B, AND PRIVACY POLICY (2/14/2025)

Regulatory assets under management

Total Number of Accounts	427
AUM (Assets Under Management)	$ 215,200,000

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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Firm Stability Insights

Franklin L. Matute

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Franklin Leonardo Matute's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEE FINANCIAL COMPANY, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AUSDAL FINANCIAL PARTNERS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

ROSEROCK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/16/2011

SIE

Date: 12/18/2015

Series 7

Date: 10/8/2010

Current Firm

ROSEROCK WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROSEROCK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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