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119 Washington Avenue Suite 400, Miami Beach, FL 33139 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2025-01-01 |
| MA | RA | APPROVED | 2023-01-24 |
Branch Locations
East Falmouth, MA • United States
119 Washington Avenue Suite 400, Miami Beach, FL 33139 • United States
Quechee, VT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Russell Investments | Tacoma | WA | 09/2010 | 07/2022 |
| Russell Implementation Services Inc. Part Of Russell Investments | Seattle | WA | 06/2016 | 07/2022 |
| Saxony Securities, Inc. | St. Louis | MO | 09/2022 | Present |
| Rose Capital Advisors, Llc | Miami Beach | FL | 10/2022 | Present |
1) Beeken Biomedical; non-investment related; 378 Page St #201, Stoughton, MA, 02072; Biomedical; Informal Advisor; Began Jan 2022; 1 hour per month, no trading hours 2) Black Dog Enterprises, LLC; non-investment related; 735 E Falmouth Hwy, Mashpee, MA 02649; Specialty apparel and foodservice; Board of Directors; Began Jan 2021; 0-1 hours, no trading hours 3) Natick Retirement Board; investment-related; 13 East Central Street, Natick, MA 01760; Board Member; Started Feb. 2009; 1-2 hours per month; 0 hours during trading time; Pension Board overseeing member 4) Rose Capital Advisors, LLC; investment-related; Miami Beach, FL; Director of Client Solutions; 40 hours per month; 40 hours during trading time 5) Rivers End, LLC; non-investment related; 41 Renee Lane, East Falmouth, MA 02536; Rental Property; Sole Manager; Began June 2005; 2 hrs per month during non-trading time 6) Saxony Securities, Inc.; investment-related; St. Louis, MO; Registered Representative; 0 hours per month; 0 hours during trading time 7) Rose Capital Growth Partners, non-investment related, 119 Washington Ave, Suite 400, Miami Beach, FL 33153, Holding Company, Partner, 12/31/2025, Holding Company for ownership investment into Rose Capital Advisors, LLC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2010-11-22 |
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