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Detailed Report
MICHELLE MAUZE ROKES
MARGARET ROKES
CRD#: 1820657
IA
Investment Adviser
B
Broker
OPUS FINANCIAL ADVISORS, INC.CRD#: 118742 126 EAST WATER ST.
STATESVILLE, NC 28677
OSAIC WEALTH, INC.CRD#: 23131 126 E. WATER STREET
STATESVILLE, NC 28677
Registration History
19901995200020052010201520202025IAOPUS FINANCIAL ADVISORS, INC. (CRD# 118742)2001 - Present (23 years)BOSAIC WEALTH, INC. (CRD# 23131)2023 - Present (1 year)BFSC SECURITIES CORPORATION (CRD# 7461)1991 - 2023 (32 years)BH. BECK, INC. (CRD# 1763)1988 - 1991 (3 years)
License(s)

State Registrations

B
District of Columbia 11/3/2023
B
North Carolina 11/3/2023
B
Florida 11/3/2023
B
South Carolina 11/3/2023
IA
North Carolina 12/31/2001

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OPUS FINANCIAL ADVISORS, INC. (CRD#:118742)
126 EAST WATER ST., STATESVILLE, NC 28677
Registered with this firm since 12/31/2001
B
OSAIC WEALTH, INC. (CRD#:23131)
126 E. WATER STREET, STATESVILLE, NC 28677
Registered with this firm since 11/3/2023
Previous Registration(s)
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B
 08/23/1991 - 11/03/2023 FSC SECURITIES CORPORATION (CRD#:7461) STATESVILLE, NC
B
 04/20/1988 - 07/17/1991 H. BECK, INC. (CRD#:1763) ROCKVILLE, MD
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.