Ivan Rosa

OPTIMIST CAPITAL

Palm Beach Gardens, FL 33410

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CRD#: 6720387

Professional summary

Ivan Rosa is a registered financial advisor currently at OPTIMIST CAPITAL located in Palm Beach Gardens, Florida.

Ivan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Ivan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

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.

1) Palm Beach and Treasure Coast Chapter of the US Naval Academy Alumni Association- President of the Palm Beach and Treasure Coast Chapter of the US Naval Academy Alumni Association., Start: 04/01/2022, Address: N/A , 10 total hours per month 0 during securities trading hours, Not Investment related, No annual compensation, 2) Sunfest of Palm Beach County, Inc.-Volunteer member of the Board of Directors and Treasurer of Sunfest, Florida's largest waterfront music and art festival, Start: 07/01/2022, Address: N/A , 5 total hours per month; 0 during securities trading hours, Not Investment related, No annual compensation,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Rosa'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

January 30, 2025 - Present

OPTIMIST CAPITAL

Office #1: 2401 Pga Blvd Suite 148, Palm Beach Gardens, FL 33410

RIA

CRD#: 292023

Palm Beach Gardens, FL

Past

April 8, 2022 - March 20, 2023

PARK AVENUE SECURITIES LLC

CRD#: 46173

MIAMI, FL

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

Florida
(1/30/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/24/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/8/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/15/2022

Securities Industry Essentials Examination

Current Firm

OPTIMIST CAPITAL

OPTIMIST CAPITAL | OPTIMIST CAPITAL LLC

CRD#: 292023 / SEC#: 801-112387

RIA

Registered Investment Advisory firm - (5/4/2018 Terminated)

California

Registered Investment Advisory firm - (7/25/2019 Approved)

Florida

Registered Investment Advisory firm - (6/13/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2401 Pga Blvd Suite 148, Palm Beach Gardens, FL 33410

Mailing Address

Phone number

(561) 771-8077

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 88,701,965

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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Ivan Rosa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Rosa's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPTIMIST CAPITAL

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/24/2023

Series 7TO

Date: 4/8/2022

SIE

Date: 3/15/2022

Current Firm

OPTIMIST CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OPTIMIST CAPITAL

TRUST BUT VERIFY

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