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Our Qualifications

Understanding your advisor's credentials and experience is crucial for your financial success. At Rock Martin Private Wealth Management, we pride ourselves on holding top-tier certifications in investment management, tax planning, and more. We believe in transparency and clearly outline our qualifications to demonstrate the depth of our expertise.

Our clients benefit significantly from working with advisors who possess dual expertise in both tax and investment planning. This unique combination ensures that your financial strategies are tax-efficient and aligned with your investment goals. By integrating these key areas, we provide comprehensive, seamless financial planning that addresses all aspects of your financial well-being, offering you the highest level of service and peace of mind.

The CERTIFIED FINANCIAL PLANNER® designation signifies a financial planner's expertise, professionalism, and commitment to ethical standards. Awarded by the CFP Board, this certification requires extensive education, a comprehensive exam, and substantial professional experience. CFP® professionals are skilled in all areas of financial planning, including investments, retirement, estate planning, taxes, and insurance.

Choosing a CFP® professional means working with an advisor who has met rigorous qualifications and is dedicated to ongoing education. They are held to a fiduciary standard, ensuring they act in their clients' best interests. At Rock Martin Private Wealth Management, our CFP® professionals provide personalized financial strategies, helping clients pursue their unique financial goals.

To learn more about the CERTIFIED FINANCIAL PLANNER® mark, click the button below.

CFP® Certification Requirements

Enrolled Agent (EA)

An Enrolled Agent (EA) is a federally-authorized tax advisor with expertise in tax preparation and representation. Certified by the IRS, EAs must pass a comprehensive examination and complete ongoing education to maintain their proficiency. They have unlimited practice rights before the IRS, similar to CPAs and attorneys, allowing them to represent taxpayers in audits, collections, and appeals.

At Rock Martin Private Wealth Management, both Marty Urbanowicz and Tyler Zavala are Enrolled Agents.  They leverage their specialized tax knowledge to enhance all aspects of financial planning, providing invaluable support for our clients' comprehensive financial needs.


Enrolled Agent Information

FINRA and NASAA Exams

When choosing a financial advisor, it’s essential to understand the roles of FINRA and NASAA Series licenses. The NASAA Series 65 license allows advisors to get paid for providing financial advice and managing portfolios, focusing on state law compliance. In contrast, the FINRA Series 7 license enables advisors to directly execute trades on your behalf, enhancing efficiency and reducing costs by eliminating third-party involvement.

At Rock Martin Private Wealth Management, all our advisors hold Series 7 licenses, along with either the Series 65 or 66 license with LPL Financial. This allows us to deliver well-rounded financial strategies and seamless investment management. Click the link below to learn more about these exams and how they impact your financial journey.

Qualification Exams

Life Insurance

At Rock Martin, we’re licensed in Arizona to provide a full spectrum of life insurance products, including annuities, whole life, term policies, and more. Our approach always begins with a thorough analysis using advanced planning software to determine if and when these products fit into your financial strategy. Only after this careful evaluation do we help you find the best product, with no ties to any one carrier. While we make these options available to our clients, our analysis often reveals that complex insurance solutions are unnecessary. We can quickly obtain licenses in other states as needed.