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CR

Caitlin M. Rose

ACCESS WEALTH MANAGEMENT
Louisville, KY 40207
Some features on this profile are disabled
CRD#: 5705206
CR

Professional summary

Caitlin Michelle Rose, who also goes by Caitlin M Rose, Caitlyn M. Rose, is a registered financial advisor currently at ACCESS WEALTH MANAGEMENT, INC. located in Louisville, Kentucky and PRIVATE CLIENT SERVICES, LLC located in Louisville, Kentucky.

Caitlin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Caitlin has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Caitlin M Rose | Caitlyn M. Rose

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) ACCESS FAMILY OFFICE SERVICES. 4360 BROWNSBORO RD, STE 101, LOUISVILLE, KY 40207. FAMILY OFFICE SERVICES TO RIA CLIENTS. BOOK KEEPING, BILL PMT, TAX SERVICES. 160 HOURS/MO; 160 DURING TRADING HOURS. 2) ACCESS WEALTH MANAGEMENT. 4360 BROWNSBORO RD, #101. WEALTH MANAGEMENT FIRM. LEAD SERVICE ADVISOR. 160 HOURS/MO; 160 DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin Michelle 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

October 31, 2018 - Present

ACCESS WEALTH MANAGEMENT, INC.

Office #1: 4360 Brownsboro Road Suite 101, Louisville, KY 40207
RIA
CRD#: 281616
Louisville, KY
Current

October 19, 2018 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 4360 Brownsboro Road Suite 101, Louisville, KY 40207
RIA
BD
CRD#: 120222
Louisville, KY
Past

November 12, 2015 - October 19, 2018

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Louisville, KY
Past

June 24, 2011 - November 13, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
LOUISVILLE, KY
Past

February 19, 2010 - November 13, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
LOUISVILLE, KY

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".
AW
ACCESS WEALTH MANAGEMENT, INC.
ACCESS WEALTH MANAGEMENT, INC.

CRD#: 281616 / SEC#: 801-106775

RIA
Registered Investment Advisory firm - (10/15/2015 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.
RR
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

RR
Kentucky
(10/19/2018)
IAR
Kentucky
(10/31/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/17/2011
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: 2/18/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AW
ACCESS WEALTH MANAGEMENT, INC.
ACCESS WEALTH MANAGEMENT, INC.

CRD#: 281616 / SEC#: 801-106775

RIA
Registered Investment Advisory firm - (10/15/2015 Approved)
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Contact information

Main Address
4360 Brownsboro Road Suite 101, Louisville, KY 40207
Mailing Address
Phone number
(502) 292-5500
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (5 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

ACCESS WEALTH MANAGEMENT BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts821
AUM (Assets Under Management)$ 318,959,868

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/22/2024
Cover Page
Report
03/14/2023
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.

Company Information

ACCESS WEALTH MANAGEMENT, INC.

CRD#: 281616Louisville, KY 40207

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