David Rosenow has been Chief Compliance Officer of Capital Wealth Advisors since January 2023, is not listed as a control person, but directly owns under 5% of the firm.
Capital Wealth Advisors, LTD. is a West Bend, WI firm with $126M under management, 185 clients and 2 advisers in one office, as of its March 2026 filing.
David Rosenow’s longest registration is the current one, 5 years at CWP Private Wealth Management since 2021.
- HBW RIA Services, LLCAlso current– present · 4 yearsWest Bend, WI · Adviser representative · Firm CRD 319056
- CWP Private Wealth ManagementAlso current– present · 5 yearsWest Bend, WI · Adviser representative · Firm CRD 281520
Investment adviser representative registrations
David Rosenow is registered as an investment adviser representative in Wisconsin, since January 2021.
- WisconsinSince 20 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 13 September 2022 |
| Series 7TO | General Securities Representative Examination | 13 September 2022 |
| Series 99TO | Operations Professional Examination | 13 September 2022 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 August 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 3 November 1986 |
| Series 7 | General Securities Representative Examination | 18 October 1986 |
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Leo Rosenow
- CRD
- 1561780
- Firm
- Capital Wealth Advisors · CRD 155263
- Role
- Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- June 1989
- Disciplinary history
- Not yet shown here · SEC record
Where does David Rosenow work?
David Rosenow has been Chief Compliance Officer of Capital Wealth Advisors, LTD. since January 2023.
Is David Rosenow a financial advisor?
Yes. David Rosenow has a current investment-adviser registration in Wisconsin.
How many years of experience does David Rosenow have?
David Rosenow has 37 years in the financial industry, since June 1989, across 2 adviser firms.
What exams has David Rosenow passed?
David Rosenow has passed 6 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 7TO and Series 99TO. The earliest, the Series 7, was passed in October 1986. FINRA credited David Rosenow with the SIE, which began in October 2018.
Is David Rosenow registered with FINRA?
No. David Rosenow has no current broker registration.
How can I verify David Rosenow’s record?
Search CRD 1561780 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Rosenow’s full registration record.