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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

STEVEN GREGORY ROTELLO

Advisor at MOSAIC WEALTH

ST. LOUIS, MO | Greenwood Village, CO

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Search this name across graphsid dfx:ria:b92059b2-1a19-81da-d5ad-7a5dedfbc291

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 13, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MOSAIC WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 2, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 2, 2000
First registration: Apr 13, 2001
Dual registered: yes, broker-dealer
Other names: Steve G Rotello
IAPD individual key: 4228803

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MOSAIC WEALTH	Independent wealth	Jan 24, 2025	n/a	yes	ST. LOUIS, MO\|Greenwood Village, CO	Current employment
MOSAIC FAMILY WEALTH, LLC	Former SEC adviser	Nov 10, 2017	Jan 3, 2022	no	GREENWOOD VILLAGE, CO\|ST. LOUIS, MO	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 5, 2008	Nov 27, 2017	no	DENVER, CO\|WEEHAWKEN, NJ\|DENVER, CO\|WEEHAWKEN, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Sep 19, 2008	no	BROOMFIELD, CO	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Apr 13, 2001	Jan 1, 2008	no	BROOMFIELD, CO\|BROOMFIELD, CO\|ST. LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MOSAIC FAMILY WEALTH, LLC	MOSAIC WEALTH	Jan 3, 2022	Jan 24, 2025	1,117	Firm change after gap	RIA to RIA
UBS FINANCIAL SERVICES INC.	MOSAIC FAMILY WEALTH, LLC	Nov 27, 2017	Nov 10, 2017	-17	Firm change	Wirehouse to RIA
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Sep 19, 2008	Sep 5, 2008	-14	Firm change	Wirehouse to wirehouse
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
170923:317377:MO:2022-01-03	Jan 3, 2022	Jan 24, 2025	ST LOUIS, MO	Firm change after gap

Relationships

Registered with (5)

→ MOSAIC WEALTHRegistered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ MOSAIC FAMILY WEALTH, LLCRegistered adviserregistration: previous registration
Nov 10, 2017 to Jan 3, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 5, 2008 to Nov 27, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Sep 19, 2008factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Apr 13, 2001 to Jan 1, 2008factForm ADV

Dated events

Occurred
Jan 3, 2022
Advisor changed firm
Steven Gregory Rotello left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2025-01-24)
Form ADVobserved 5 days ago