Michael S. Rose

FULCRUM WEALTH ADVISORS

Bellevue, WA 98004

Some features on this profile are disabled

CRD#: 817872

Professional summary

Michael Stevan Rose, who also goes by Michael Steven Rose, is a registered financial advisor currently at FULCRUM WEALTH ADVISORS, LLC located in Bellevue, Washington.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Michael has worked at 13 firms and has passed the Series 66, Series 63, SIE, PC, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Steven Rose

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. FULCRUM WEALTH ADVISORS, LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, OUTSIDE RIA - ADVISORY BUSINESS, START 2012, 40HRS/WK (32.5 TRADING HOURS), OWNER, INVESTMENT ADVISOR REPRESENTATIVE; 2. NAME OF OTHER BUSINESS: CASTLE BUILDERS; INVESTMENT RELATED: NO; ADDRESS: 9613 BRUNSWICK DRIVE, NASHVILLE TN 37027; NATURE OF BUSINESS: CONSTRUCTION; START DATE: 3/2021; POSITION/TITLE/RELATIONSHIP: ADVISOR/CONSULTANT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: ACT AS A CONSULTANT/ADVISOR TO OWNER;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stevan Rose'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

November 22, 2013 - Present

FULCRUM WEALTH ADVISORS, LLC

Office #1: 10940 Ne 33rd Place, Suite 210, Bellevue, WA 98004

RIA

CRD#: 169277

Bellevue, WA

Past

July 26, 2013 - October 18, 2021

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BELLEVUE, WA

Past

July 26, 2013 - October 18, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BELLEVUE, WA

Past

January 2, 2008 - August 2, 2013

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

BELLEVUE, WA

Past

January 2, 2008 - August 2, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

BELLEVUE, WA

Past

August 12, 2006 - January 23, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

August 12, 2006 - January 23, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

August 30, 2004 - August 12, 2006

PIPER SANDLER & CO.

RIA

CRD#: 665

SEATTLE, WA

Past

August 30, 2004 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

SEATTLE, WA

Past

August 19, 2003 - September 8, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SEATTLE, WA

Past

August 19, 2003 - September 8, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

February 9, 2002 - August 29, 2003

BANC OF AMERICA SECURITIES LLC

RIA

CRD#: 26091

BELLEVUE, WA

Past

October 1, 1997 - August 29, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

November 20, 1995 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

July 12, 1994 - November 13, 1995

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

September 3, 1986 - July 7, 1994

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

October 12, 1984 - September 15, 1986

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

July 13, 1978 - October 29, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

January 27, 1976 - July 13, 1978

BECKER SECURITIES INCORPORATED

CRD#: 6796

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".

FULCRUM WEALTH ADVISORS, LLC

CRD#: 169277 / SEC#: 801-130305

RIA

Registered Investment Advisory firm - (5/20/2024 Approved)

Washington

Registered Investment Advisory firm - (6/20/2024 Terminated)

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).

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

Washington
(11/22/2013)

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: 11/18/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/12/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 10/15/1981

AMEX Put and Call Exam

General Industry/Product Exam

Series 5

Date: 10/15/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/17/1976

General Securities Representative Examination

Current Firm

FULCRUM WEALTH ADVISORS, LLC

CRD#: 169277 / SEC#: 801-130305

RIA

Registered Investment Advisory firm - (5/20/2024 Approved)

Washington

Registered Investment Advisory firm - (6/20/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10940 Ne 33rd Place, Suite 210, Bellevue, WA 98004

Mailing Address

Phone number

(425) 250-6280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FULCRUM WEALTH ADVISORS LLC FORM ADV PART 2A FEB 2025 (2/14/2025)

Regulatory assets under management

Total Number of Accounts	213
AUM (Assets Under Management)	$ 140,124,000

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.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael S. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stevan Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

SBC WARBURG DILLON READ INC.

CREDIT SUISSE SECURITIES (USA) LLC

L. F. ROTHSCHILD & CO. INCORPORATED

BECKER PARIBAS INCORPORATED

BECKER SECURITIES INCORPORATED

Primary Firm SEC Registration

FULCRUM WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2002

Series 63

Date: 12/12/1979

SIE

Date: 10/1/2018

PC

Date: 10/15/1981

Series 5

Date: 10/15/1981

Series 7

Date: 1/17/1976

Current Firm

FULCRUM WEALTH ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FULCRUM WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors