Gary Siperstein has been Managing Member of Eliot Rose Wealth Management since April 2002, is a control person of the firm and directly owns between 10% and 25% of it.
Eliot Rose Wealth Management, LLC is a Providence, RI firm with $186M under management, 141 clients and 1 adviser in one office, as of its February 2026 filing.
Gary Siperstein is Founder and Director of Research of Eliot Rose Wealth Management, based in East Greenwich, RI. He started the firm in 2002 and named it after his two children. Before that, he had 40 years in investment management and a career as a CPA. He is chairman now and stepped back from client work some years ago.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 55 | Limited Representative-Equity Trader Exam | 24 March 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 September 1999 |
| Series 53 | Municipal Securities Principal Examination | 4 February 1992 |
| Series 24 | General Securities Principal Examination | 30 January 1989 |
| Series 27 | Financial and Operations Principal Examination | 3 October 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 May 1983 |
| Series 7 | General Securities Representative Examination | 16 April 1983 |
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Gary Steven Siperstein
- CRD
- 1121526
- Firm
- Eliot Rose Wealth Management · CRD 120465
- Role
- Managing Member
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- eliotrose.com
Where does Gary Siperstein work?
Gary Siperstein has been Managing Member of Eliot Rose Wealth Management, LLC since April 2002, and is a control person of the firm.
Does Gary Siperstein have a current investment-adviser registration?
Gary Siperstein has no current investment-adviser or broker registration.
What exams has Gary Siperstein passed?
Gary Siperstein has passed 7 licensing exams: the Series 7, Series 63, Series 27, Series 24, Series 53, Series 65 and Series 55. The earliest, the Series 7, was passed in April 1983.
Where was Gary Siperstein previously registered as an investment adviser?
Gary Siperstein has past investment-adviser registrations through Eliot Rose Wealth Management, LLC, August 2002 to December 2025, across 1 firm.
Is Gary Siperstein registered with FINRA?
No. Gary Siperstein has no current broker registration.
How can I verify Gary Siperstein’s record?
Search CRD 1121526 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Gary Siperstein’s full registration record.
