MR
Max D. Rossiter
BILTMORE WEALTH MANAGEMENT
Tempe, AZ 85282
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CRD#: 6262378
MR
Professional summary
Max David Rossiter is a registered financial advisor currently at BILTMORE WEALTH MANAGEMENT, LLC located in Tempe, Arizona.
Max is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Max has worked at 1 firm and has passed the Series 65 exam.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Max David Rossiter'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®
NoneExperience
Current
June 19, 2015 - Present
BILTMORE WEALTH MANAGEMENT, LLC
Office #1: 1400 E. Southern Avenue Suite 650, Tempe, AZ 85282RIA
CRD#: 151365
Tempe, AZ
Past
January 31, 2014 - January 2, 2015
BILTMORE WEALTH MANAGEMENT, LLC
RIA
CRD#: 151365
SCOTTSDALE, AZ
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".
BW
BILTMORE WEALTH MANAGEMENT, LLC
APOLLO DESIGNS, LLC | BILTMORE WEALTH MANAGEMENT, LLC
CRD#: 151365 / SEC#: 801-81007
RIA
Registered Investment Advisory firm - (2/25/2015 Approved)Arizona
Registered Investment Advisory firm - (2/26/2015 Terminated)California
Registered Investment Advisory firm - (3/27/2015 Terminated)Florida
Registered Investment Advisory firm - (2/26/2015 Terminated)New York
Registered Investment Advisory firm - (2/26/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (2/25/2015 Terminated)Texas
Registered Investment Advisory firm - (2/26/2015 Terminated)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
Arizona(6/19/2015)
Current Firm
BW
BILTMORE WEALTH MANAGEMENT, LLC
APOLLO DESIGNS, LLC | BILTMORE WEALTH MANAGEMENT, LLC
CRD#: 151365 / SEC#: 801-81007
RIA
Registered Investment Advisory firm - (2/25/2015 Approved)Arizona
Registered Investment Advisory firm - (2/26/2015 Terminated)California
Registered Investment Advisory firm - (3/27/2015 Terminated)Florida
Registered Investment Advisory firm - (2/26/2015 Terminated)New York
Registered Investment Advisory firm - (2/26/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (2/25/2015 Terminated)Texas
Registered Investment Advisory firm - (2/26/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1400 E. Southern Avenue Suite 650, Tempe, AZ 85282
Mailing Address
Phone number
(480) 998-1819
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 568 |
| AUM (Assets Under Management) | $ 396,736,147 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
