Rosalie K. Mathers
VALMARK ADVISERS
Menomonee Falls, WI
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CRD#: 6386118
Professional summary
Rosalie Kay Mathers, CFP®, who also goes by Rosie Kay Mathers, Rosie Kay Thompson, is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Menomonee Falls, Wisconsin and VALMARK SECURITIES, INC. located in Menomonee Falls, Wisconsin.
Rosalie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Rosalie has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rosie Kay Mathers | Rosie Kay Thompson
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) Private Wealth Advisers LLC - Crump Insurance Agency, W137 N6164 Weyer Farm Court, Menomonee Falls, WI 53051; Non-variable insurance; Managing Member; Assist in the placement of certain non-variable insurance products not available through Valmark; not investment related; started 08/01/2018; controlling interest of Private Wealth Advisers, LLC; Compensation-insurance commission split with other Valmark representatives./// 2) Arkayem LLC, W137N6164 Weyer Farm Court,Menomonee Falls, WI 53051, Manager, Real estate rental, started 12/2019, not investment related, has financial interest in comapny - created to lease vacation rentals, 1-5 hours per month, no compensation./// 3) Rosie K. Mathers Insurance Proprietorship; W137N6164 Weyer Farm Ct, Menomonee Falls, WI. 53051; Proprietor providing Long Term Care and Disability Insurance to clients; NOT Investment Related; Start Date 2/1/2023; Approximately 1-5 hrs. per month; paid commission basis and fees for LTD consulting and policies placed.///
CRS (Client Relationship Summary) - RIA
Click below to view Rosalie Kay Mathers'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®
CFP®
Start date: 2022
Experience
Current
May 14, 2018 - Present
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
Menomonee Falls, WI
Current
January 31, 2018 - Present
VALMARK SECURITIES, INC.
BD
CRD#: 31243
Menomonee Falls, WI
Past
March 15, 2016 - March 28, 2018
MP & H FINANCIAL GROUP, LLC
RIA
CRD#: 147664
LIBERTYVILLE, IL
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".
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 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.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
Arizona(2/4/2025)
IAR
Arizona(7/21/2025)
IAR
Colorado(5/14/2018)
RR
Colorado(2/4/2025)
RR
Florida(6/21/2023)
IAR
Florida(7/10/2023)
RR
Illinois(3/8/2018)
IAR
Illinois(1/2/2019)
IAR
Minnesota(1/2/2019)
RR
Texas(6/21/2023)
IAR
Texas(6/21/2023)
RR
Wisconsin(3/8/2018)
IAR
Wisconsin(5/14/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
130 Springside Drive Suite 300, Akron, OH 44333
Mailing Address
Phone number
(800) 765-5201
Established
Firm type
Fiscal year end
# of Employees
275
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,096 |
| AUM (Assets Under Management) | $ 8,379,181,235 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
