CK
Carter M. Klaas
ROSEMEYER MANAGEMENT GROUP
PLATTEVILLE, WI 53818
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CRD#: 7253814
CK
Professional summary
Carter M Klaas is a registered financial advisor currently at ROSEMEYER MANAGEMENT GROUP located in Platteville, Wisconsin.
Carter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Carter has worked at 3 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.
* UW Credit Union; Madison, WI; non investment related; Community Partnerships Intern; 09/19-ongoing; 64 hrs/mo' 56 hrs/mo trade hours. NORTH STAR CONSULTANTS AND NORTH STAR BROKERAGE GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2019 ADDRESS: 2701 University Ave SE, Minneapolis MN 55414, United States DESCRIPTION: Offering clients group/employee benefits and fixed insurance options (with the exception of annuities) outside of the carriers that have selling arrangements with Securian Financialor MN Life Insurance Co. "REAL LIFE FINANCIAL PLANNING" BOOK POSITION: Contributing author NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/12/2020 ADDRESS: 2945 Triverton Pike Dr., Ste 200, Madison WI 53711, United States DESCRIPTION: This is a book that will be used to help potential clients understand the financial planning process we use and our values. My contribution is the concrete examples "case studies" simulating a situation and the implementation of the financial planning process specific to their needs and situation. Its intent is to be a marketing device--I do not expect to make money from this venture as we give away the book for free 90% of the time.
CRS (Client Relationship Summary) - RIA
Click below to view Carter M Klaas'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®
NoneExperience
Current
August 20, 2021 - Present
ROSEMEYER MANAGEMENT GROUP
Office #1: 1290 E Mineral St., Platteville, WI 53818RIA
CRD#: 310363
PLATTEVILLE, WI
Past
September 24, 2020 - August 10, 2021
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MADISON, WI
Past
September 24, 2020 - August 10, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
MADISON, WI
Past
August 4, 2020 - August 10, 2021
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MADISON, WI
Past
August 4, 2020 - August 10, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
MADISON, WI
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".
RM
ROSEMEYER MANAGEMENT GROUP
RMG WEALTH MANAGEMENT | ROSEMEYER MANAGEMENT GROUP, LLC | ROSEMEYER MANAGEMENT GROUP | RMG WEALTH MANAGEMENT, LLC
CRD#: 310363 / SEC#: 801-119774
RIA
Registered Investment Advisory firm - (11/12/2020 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
Wisconsin(8/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/4/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
RM
ROSEMEYER MANAGEMENT GROUP
RMG WEALTH MANAGEMENT | ROSEMEYER MANAGEMENT GROUP, LLC | ROSEMEYER MANAGEMENT GROUP | RMG WEALTH MANAGEMENT, LLC
CRD#: 310363 / SEC#: 801-119774
RIA
Registered Investment Advisory firm - (11/12/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1290 E Mineral St., Platteville, WI 53818
Mailing Address
Phone number
(608) 348-2274
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,202 |
| AUM (Assets Under Management) | $ 691,857,332 |
Red Flags
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Company Information
ROSEMEYER MANAGEMENT GROUP
CRD#: 310363Platteville, WI 53818TRUST BUT VERIFY
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