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Steven Edward Rose

CWM, LLC

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About Steven Edward Rose

Steven Edward Rose is an investment advisor representative with CWM, LLC based in Reno, Nevada. Steven has been in the financial services industry for over 17 years and holds the Series 6, 62, 63, and 65 securities licenses, as well as the SIE. He is a Certified Financial Planner™ professional and holds the designation of Chartered Financial Consultant. Steven has experience working with high-net-worth individuals, corporations, and pension and profit-sharing plans. Steven's previous employers include LPL Financial LLC and MML Investors Services, LLC.

Firm Information

Steven Rose is currently registered with CWM, LLC. CWM, LLC is a registered investment adviser based in Omaha, NE, with over 475 investment adviser representatives. The firm manages a total of $26.77 billion in client assets, primarily for high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, and pension and profit-sharing plans. The firm offers advisory services such as financial planning, portfolio management for individuals, selection of other advisers, and sub-advisory services for other investment advisory firms. The firm also participates in wrap fee programs.
CWM, LLC

14600 BRANCH ST.

OMAHA, NE 68154

$26.77B

Assets Under Management

629

Total Clients

448

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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sub-advisory services for other investment advisory firms

Sub-advisory services for other investment advisory firms

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitor fees from other investment advisors

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Steven Rose’s Registration & Firm History

NV

04/11/2023 - Present

CWM, LLC (Reno NV)

NV

06/27/2016 - 10/29/2021

LPL FINANCIAL LLC (RENO NV)

NV

04/29/2005 - 06/29/2016

MML INVESTORS SERVICES, LLC (CARSON CITY NV)

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Licenses & Designations

IA

Issued 01/14/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/12/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/12/2011

Series 62 - Corporate Securities Limited Representative Examination

BC

Issued 04/28/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Steven Edward Rose. Review regulatory record here.
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