Rosie L. George

STRAIT DIRECTION WEALTH MANAGEMENT

South Euclid, OH

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CRD#: 6692292

Professional summary

Rosie L George, who also goes by Rosie Lee George, Rosie Lee Mitchell, is a registered financial advisor currently at STRAIT DIRECTION WEALTH MANAGEMENT located in South Euclid, Ohio and INDEPENDENCE CAPITAL CO., INC. located in Parma, Ohio.

Rosie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Rosie has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rosie Lee George | Rosie Lee Mitchell

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.

Owner (Mitchell Financial Services), Tax Services, not investment-related, 3794 Grosvenor Road South Euclid OH 44118, Start date 05/2014, 15 hrs/month, Compensation: Other. Strait Direction RIA, RIA, 5001 Mayfield Rd Ste 210 Lyndhurst OH 44124, Start 04/2021, 140 hrs/month, Compensation: Other. Insurance Agent, Fixed life, annuities, disability, long term care, health insurance, 5001 Mayfield Rd Ste 210 Lyndhurst OH 44124, Start 04/2021, 5 hrs/month, Compensation: Commission.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosie L George'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®

None

Experience

Current

June 18, 2021 - Present

STRAIT DIRECTION WEALTH MANAGEMENT

RIA

CRD#: 314742

South Euclid, OH

Current

August 16, 2021 - Present

INDEPENDENCE CAPITAL CO., INC.

Office #1: 5579 Pearl Road, Suite 100, Parma, OH 44129

RIA

CRD#: 24723

Parma, OH

Past

December 19, 2016 - April 5, 2021

EDWARD JONES

RIA

CRD#: 250

LYNDHURST, OH

Past

September 29, 2016 - April 5, 2021

EDWARD JONES

CRD#: 250

LYNDHURST, OH

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.

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

New York
(8/30/2022)

IAR

Ohio
(6/18/2021)

Ohio
(8/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/15/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STRAIT DIRECTION WEALTH MANAGEMENT

CRD#: 314742 / SEC#:

Ohio

Registered Investment Advisory firm - (6/18/2021 Approved)

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Contact information

Main Address

5001 Mayfield Rd. Ste. 210, Lyndhurst, OH 44124

Mailing Address

Phone number

(216) 331-2163

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 2,191,874

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.

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Rosie L. George

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosie L George's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRAIT DIRECTION WEALTH MANAGEMENT

INDEPENDENCE CAPITAL CO., INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2016

FINRA

Current Firm

STRAIT DIRECTION WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STRAIT DIRECTION WEALTH MANAGEMENT

TRUST BUT VERIFY

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