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Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Santa Rosa, CA

Every SEC-registered investment adviser representative at a firm office in Santa Rosa, with the firms that employ the most of them.

284 registered advisors work in Santa Rosa; the most are at Morgan Stanley (50). 49 list the CFP designation and 235 are also registered broker representatives.

Firms with the most advisors in Santa Rosa

FirmAdvisors in Santa Rosa
Morgan Stanley news50
LPL Financial LLC news36
Wells Fargo Clearing Services, LLC news36
Edward Jones news27
Merrill Lynch, Pierce, Fenner & Smith Incorporated news16
Charles Schwab & Co., Inc. news13
Eagle Strategies LLC9
Stifel, Nicolaus & Company, Incorporated news7
Focus Partners Wealth, LLC4
Osaic Wealth, Inc. news4
Raymond James & Associates, Inc. news4
Commonwealth Financial Network news3
J.P. Morgan Securities LLC news3
Sonoma Allocations3
Ae Wealth Management, LLC2
Cambridge Investment Research Advisors, Inc. news2
Cetera Investment Advisers LLC news2
Core Wealth Partners LLC2
Diversify Advisory Services, LLC2
Independent Financial Group, LLC2
Jdh Wealth Management, LLC2
Madson Wealth Advisors Inc.2
Mai Capital Management, LLC2
Nwf Advisory Services Inc.2
Raymond James Financial Services Advisors, Inc. news2

Advisors in Santa Rosa, A to Z

CFP advisors in Santa Rosa →

Other cities in California

All of California →

San Diego 3,490San Francisco 3,219Los Angeles 3,218Newport Beach 1,783Irvine 1,659Pasadena 1,109Walnut Creek 1,049San Jose 897Beverly Hills 656Roseville 611Westlake Village 597Sacramento 588Palo Alto 500Torrance 471La Jolla 463Carlsbad 429Menlo Park 428Santa Barbara 422El Segundo 421Fresno 413San Rafael 394San Mateo 354Woodland Hills 343Long Beach 335

Questions

How many financial advisors are in Santa Rosa, CA?

284 investment adviser representatives are registered at firm offices in Santa Rosa, California, according to the SEC's Investment Adviser Public Disclosure records. 235 of them are also registered as broker representatives, and 49 list the CFP designation.

Which firm has the most financial advisors in Santa Rosa?

Morgan Stanley, with 50 registered advisors in Santa Rosa, followed by LPL Financial LLC with 36.

How do I check a financial advisor in Santa Rosa?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.