Andrew K. Rose

OSAIC WEALTH

Raleigh, NC 27615

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CRD#: 5321017

Professional summary

Andrew Kreston Rose, CFP®, CLU® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Raleigh, North Carolina.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Andrew has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 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. Insurance Broker: Life, Annuities, LTC, DI, multiple carriers, insurance brokerage, broker, Mar 2, 2017, Approx. 5 hours per month and 1 trading hour..... 2. HUB INTERNATIONAL POSITION: Broker NATURE: Insurance Agency - I do group Health Insurance Benefits INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2010 ADDRESS: 4020 Westchase Blvd, Suite 300, Raleigh NC 27607, United States DESCRIPTION: Broker and solicitor for group health insurance, group disability and group life insurance 3. FIRST NATIONAL INSURANCE AGENCY POSITION: Broker NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/31/2018 ADDRESS: 3600 Glenwood Ave, Suite 300, Raleigh NC 27612, United States DESCRIPTION: Broker for Group Health Insurance Benefits 4. CAPITOL FINANCIAL SOLUTIONS POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 130 START DATE: 03/05/2017 ADDRESS: 8816 Six Forks, Suite 301, Raleigh NC 27615, United States DESCRIPTION: Financial Planning, Insurance, Investments 5. CONSOLIDATE PLANNING POSITION: Broker NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 03/01/2017 ADDRESS: 4201 Congress St., Suite 295, Charlotte NC 28209, United States DESCRIPTION: Selling Individual Disability insurance through the carrier Guardian/Berkshire 6. BY THE BAY HOMEOWNER'S ASSOCATION POSITION: Vice President NATURE: Homeowner's Association INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2023 ADDRESS: 219 Bays End Ct., Harkers Island NC 28531, United States DESCRIPTION: Support the President and other HOA board members. Be present in meetings. Handle voting on neighborhood matters. 7. ANDREW K ROSE, LLC POSITION: Shareholder NATURE: LLC filed as an Sub Chapter S. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2024 ADDRESS: 8816 Six Forks Rd, Suite 301, Raleigh NC 27615, United States DESCRIPTION: This is an S Corp for my business. Instead of filing as a self-employed I will plan to file taxes as an S-corp and include all streams of revenue, which are disclosed.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Andrew Kreston 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®

CFP^®

Certified Financial Planner

Start date: 2014

CLU^®

Chartered Life Underwriter

Experience

Current

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 8816 Six Forks Road Suite 301, Raleigh, NC 27615

RIA

CRD#: 23131

Raleigh, NC

Current

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 8816 Six Forks Road Suite 301, Raleigh, NC 27615

RIA

CRD#: 23131

Raleigh, NC

Past

March 2, 2017 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

RALEIGH, NC

Past

March 2, 2017 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

RALEIGH, NC

Past

February 21, 2014 - March 6, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

RALEIGH, NC

Past

June 9, 2008 - March 6, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RALEIGH, NC

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/23/2023)

Colorado
(8/28/2025)

District of Columbia
(12/5/2022)

Florida
(5/16/2022)

Georgia
(8/13/2025)

Illinois
(5/8/2025)

Indiana
(11/2/2018)

Kansas
(11/2/2018)

Maryland
(7/29/2025)

Michigan
(6/26/2024)

New Jersey
(8/8/2024)

New York
(7/19/2023)

North Carolina
(11/2/2018)

IAR

North Carolina
(11/2/2018)

Ohio
(2/5/2025)

Oklahoma
(11/8/2024)

South Carolina
(11/2/2018)

Texas
(11/2/2018)

IAR

Texas
(6/7/2023)

Virginia
(7/29/2025)

Washington
(4/19/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/5/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/6/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Andrew K. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/5/2008

SIE

Date: 10/1/2018

Series 7

Date: 6/5/2017

Series 6

Date: 6/6/2008

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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