AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AR

Anthony C. Rossi

SIGNATURE RESOURCES CAPITAL MANAGEMENT
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 5645994
AR

Professional summary

Anthony Christopher Rossi, who also goes by Anthony Christopher Rossi Mr., is a registered financial advisor currently at SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC located in Newport Beach, California.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Anthony has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Anthony Christopher Rossi Mr.

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) OBA Name: Signature Resources Insurance and Financial Services, 19900 MacArthur Boulevard, Suite 900, Irvine, CA 92612, Investment Related: Yes, Position: Agent, Description of duties: Insurance sales and service, Start Date: Jul-19, Hours/Month during business hours: 120, Hours/Month outside of business hours: 120

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Christopher Rossi'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

August 26, 2019 - Present

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

Office #1: 120 Newport Center Dr Suite 100, Newport Beach, CA 92660
RIA
CRD#: 144069
Newport Beach, CA
Past

April 3, 2019 - August 5, 2019

AE WEALTH MANAGEMENT, LLC

RIA
CRD#: 282580
IRVINE, CA
Past

December 7, 2015 - April 22, 2019

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
NEWPORT BEACH, CA
Past

December 7, 2015 - April 22, 2019

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEWPORT BEACH, CA
Past

May 21, 2014 - November 10, 2015

CAPITAL SYNERGY PARTNERS

RIA
CRD#: 148733
IRVINE, CA
Past

May 21, 2014 - November 10, 2015

CAPITAL SYNERGY PARTNERS

BD
CRD#: 148733
IRVINE, CA
Past

August 10, 2012 - February 20, 2014

INNOVATUM CAPITAL PARTNERS, LLC

RIA
CRD#: 154192
COSTA MESA, CA
Past

January 13, 2010 - June 11, 2012

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
ONTARIO, CA
Past

July 16, 2009 - June 11, 2012

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
ONTARIO, CA

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".
SR
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
EDGE WEALTH STRATEGIES LLC | STATERA ASSET MANAGEMENT | SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

CRD#: 144069 / SEC#: 801-67988

RIA
Registered Investment Advisory firm - (6/8/2007 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
California
(8/26/2019)
IAR
Texas
(12/13/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/21/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2009
General Securities Representative Examination

Current Firm

SR
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
EDGE WEALTH STRATEGIES LLC | STATERA ASSET MANAGEMENT | SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

CRD#: 144069 / SEC#: 801-67988

RIA
Registered Investment Advisory firm - (6/8/2007 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
120 Newport Center Dr Suite 100, Newport Beach, CA 92660
Mailing Address
Phone number
(949) 261-7726
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025-03-25 SIGNATURE RESOURCES CAPITAL MANAGEMENT FORM ADV PART 2A (3/28/2025)
2025-03-25 SIGNATURE RESOURCES CAPITAL MANAGEMENT FORM ADV PART 2A (STATERA ASSET MANAGEMENT) (3/28/2025)

Regulatory assets under management

Total Number of Accounts807
AUM (Assets Under Management)$ 227,563,327

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.

Company Information

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

CRD#: 144069Newport Beach, CA 92660

TRUST BUT VERIFY

Monitor Anthony Rossi

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Barton S Pearce
Barton PearceAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
IRVINE, CA
Ryan Anthony Gallo
Ryan GalloAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
FULLERTON, CA
Michael Gregory Jensen
Michael JensenAdvisorCheck Check Mark
FALCON WEALTH PLANNING, INC.
IAR
Irvine, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics