Jason A. Rose

HOFKIN CAPITAL MANAGEMENT

Minnetonka, MN 55305

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CRD#: 5246015

Professional summary

Jason Andrew Rose is a registered financial advisor currently at HOFKIN CAPITAL MANAGEMENT, INC. located in Minnetonka, Minnesota.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Jason has worked at 2 firms and has passed the Series 65, Series 66 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.

GREATER TWIN CITIES UNITED WAY; NOT INVESTMENT RELATED; FUNDRAISER; START DATE 04/2018; MINNEAPOLIS, MN; APPROXIMATELY 65% OF TIME

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Andrew 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®

None

Experience

Current

March 1, 2022 - Present

HOFKIN CAPITAL MANAGEMENT, INC.

Office #1: 11824 Wayzata Boulevard, Minnetonka, MN 55305

RIA

CRD#: 110068

Minnetonka, MN

Past

October 22, 2010 - August 16, 2012

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MINNEAPOLIS, MN

Past

February 26, 2010 - August 16, 2012

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

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

Minnesota
(3/1/2022)

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 65

Date: 11/9/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/21/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/25/2010

General Securities Representative Examination

Current Firm

HOFKIN CAPITAL MANAGEMENT, INC.

HOFKIN CAPITAL MANAGEMENT, INC. | MONEY MANAGERS INC

CRD#: 110068 / SEC#: 801-14613

RIA

Registered Investment Advisory firm - (7/5/2012 Terminated)

Minnesota

Registered Investment Advisory firm - (6/26/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/31/2018 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).

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Contact information

Main Address

200 Southdale Center, Edina, MN 55435

Mailing Address

Phone number

(952) 835-1185

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 82,815,769

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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Jason A. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HOFKIN CAPITAL MANAGEMENT, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/2020

Series 66

Date: 10/21/2010

Series 7

Date: 2/25/2010

Current Firm

HOFKIN CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HOFKIN CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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