Michael D. Flaten
Professional summary
Michael D Flaten, who also goes by Michael David Flaten, Michael Flaten, is a registered financial advisor currently at ROCKWOOD WEALTH MANAGEMENT, LLC located in New Hope, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Michael has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael D Flaten's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2024 - Present
ROCKWOOD WEALTH MANAGEMENT, LLC
Office #1: 6464 Lower York Road, New Hope, PA 18938July 12, 2016 - March 26, 2020
PNC CAPITAL MARKETS LLC
October 29, 2012 - December 11, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Primary Firm SEC Registration
ROCKWOOD WEALTH MANAGEMENT, LLC
CRD#: 137481 / SEC#: 801-69884
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/6/2024)
Exams
Current Firm
ROCKWOOD WEALTH MANAGEMENT, LLC
CRD#: 137481 / SEC#: 801-69884
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,476 |
| AUM (Assets Under Management) | $ 2,185,443,848 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/20/2023 | ||
| 02/02/2023 |
Red Flags
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