William Roark has been Managing Member and Chief Compliance Officer of RS Asset Management since June 2011, is a control person of the firm and directly owns between 50% and 75% of it.
RS Asset Management, LLC is a Colorado Springs, CO firm with $107M under management, 251 clients and 2 advisers in one office, as of its March 2026 filing.
William Roark’s longest registration was 20 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (1987–2008). Before joining RS Asset Management in 2011, William Roark was registered through Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. Incorporated.
- LPL Financial LLC– · under a yearColorado Springs, CO · Adviser representative · Firm CRD 6413
- RS Asset Management, LLCCurrent– present · 15 yearsColorado Springs, CO · Adviser representative · Firm CRD 157768
- Morgan Stanley Smith Barney LLC– · 2 yearsColorado Springs, CO · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 1 yearColorado Springs, CO · Adviser representative · Firm CRD 8209
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 20 yearsColorado Springs, CO · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
William Roark is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from June 2011; the most recent is Texas, in April 2012.
- ColoradoSince 7 June 2011
- TexasResidentSince 10 April 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 4 September 1997 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 March 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 April 1987 |
| Series 7 | General Securities Representative Examination | 21 March 1987 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- William Eddy Roark
- CRD
- 1627710
- Firm
- RS Asset Management · CRD 157768
- Role
- Managing Member and Chief Compliance Officer
- Office
- 660 SOUTHPOINTE COURT, SUITE 312, Colorado Springs, CO 80906
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1987
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does William Roark work?
William Roark has been Managing Member and Chief Compliance Officer of RS Asset Management, LLC since June 2011, and is a control person of the firm.
Is William Roark a financial advisor?
Yes. William Roark has a current investment-adviser registration in Colorado and Texas, through RS Asset Management since June 2011.
How many years of experience does William Roark have?
William Roark has 39 years in the financial industry, since March 1987, across 5 adviser firms.
What exams has William Roark passed?
William Roark has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in March 1987. FINRA credited William Roark with the SIE, which began in October 2018.
Where did William Roark work before RS Asset Management?
Before RS Asset Management, William Roark was registered through Morgan Stanley Smith Barney LLC, June 2009 to June 2011; Morgan Stanley & Co. Incorporated, February 2008 to June 2009; Merrill Lynch, Pierce, Fenner & Smith Incorporated, June 1987 to February 2008.
Where is William Roark based?
William Roark’s registered office is in Colorado Springs, CO.
Is William Roark registered with FINRA?
Yes. William Roark has a current broker registration, under CRD 1627710.
Source: FINRA BrokerCheck
How can I verify William Roark’s record?
Search CRD 1627710 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish William Roark’s full registration record.