Francisco Rosales
Professional summary
Francisco Rosales, who also goes by Francisco A Rosales, Francisco A Rosales Jr, is a registered financial advisor currently at ROSALES WEALTH MANAGEMENT LLC located in Green Bay, Wisconsin.
Francisco is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Francisco has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Francisco Rosales's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2022 - Present
ROSALES WEALTH MANAGEMENT LLC
February 2, 2022 - June 27, 2022
SAFEGUARD WEALTH MANAGEMENT
March 27, 2019 - February 1, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2019 - February 1, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2016 - March 28, 2019
EDWARD JONES
August 8, 2016 - March 28, 2019
EDWARD JONES
December 18, 2015 - April 19, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/15/2022)
Exams
Series 7TO
Date: 3/17/2024
General Securities Representative ExaminationCurrent Firm
ROSALES WEALTH MANAGEMENT LLC
CRD#: 324172 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 5,000,000 |
Red Flags
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