Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Rosanne Costello
ROSANNE MILLER
CRD#: 1098979
IA
Investment Adviser
CAPTRUSTCRD#: 175112 1055 East Colorado Boulevard
Suite 200
Pasadena, CA 91106
Registration History
20002002200420062008201020122014201620182020202220242026IACAPTRUST (CRD# 175112)2019 - Present (6 years)IAWATERMARK ASSET MANAGEMENT, INC. (CRD# 108407)2014 - 2018 (4 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)1999 - 2014 (14 years)
Disclosure(s)
View By:
8/8/2011
Customer Dispute
Closed-No Action
License(s)

State Registrations

IA
California 2/5/2019
IA
Texas 6/13/2019
Current Registration(s)
IA
CAPTRUST (CRD#:175112)
1055 East Colorado Boulevard Suite 200, Pasadena, CA 91106
Registered with this firm since 2/5/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/08/2014 - 12/31/2018 WATERMARK ASSET MANAGEMENT, INC. (CRD#:108407) SAN RAMON, CA
IA
 12/28/1999 - 10/08/2014 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENCINO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.