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RG

Rosalie M. Groendes

HAVEN WEALTH GROUP
Houston, TX 77008-1773
Some features on this profile are disabled
CRD#: 6473401
RG

Professional summary

Rosalie M Groendes is a registered financial advisor currently at HAVEN WEALTH GROUP located in Houston, Texas.

Rosalie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Rosalie has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosalie M Groendes'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

March 23, 2018 - Present

HAVEN WEALTH GROUP

Office #1: 1111 North Loop West, Ste 1110, Houston, TX 77008-1773
RIA
CRD#: 148099
Houston, TX
Past

November 6, 2015 - December 31, 2017

HAVEN WEALTH GROUP

RIA
CRD#: 148099
HOUSTON, TX

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".
HW
HAVEN WEALTH GROUP
HAVEN WEALTH GROUP | HAVEN WEALTH GROUP LLC

CRD#: 148099 / SEC#: 801-69527

RIA
Registered Investment Advisory firm - (9/12/2008 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
Texas
(3/23/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/6/2015
Uniform Investment Adviser Law Examination

Current Firm

HW
HAVEN WEALTH GROUP
HAVEN WEALTH GROUP | HAVEN WEALTH GROUP LLC

CRD#: 148099 / SEC#: 801-69527

RIA
Registered Investment Advisory firm - (9/12/2008 Approved)
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Contact information

Main Address
1111 North Loop West, Ste 1110, Houston, TX 77008-1773
Mailing Address
Phone number
(713) 980-8820
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (2 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

ADV BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts774
AUM (Assets Under Management)$ 397,751,046

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

HAVEN WEALTH GROUP

CRD#: 148099Houston, TX 77008-1773

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