John J. Rosenfeld

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CRD#: 1049317

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Joseph Rosenfeld, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1993. John had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

August 9, 2022 - June 7, 2023

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

RIA

CRD#: 206518

TAMPA, FL

Past

March 6, 2020 - June 28, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

San Francisco, CA

Past

March 5, 2020 - June 28, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

San Francisco, CA

Past

August 8, 2019 - February 25, 2020

SINGER WEALTH ADVISORS INC.

RIA

CRD#: 170470

BOCA RATON, FL

Past

June 19, 2014 - July 17, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Sarasota, FL

Past

May 22, 2014 - July 17, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Sarasota, FL

Past

May 28, 2009 - July 23, 2013

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

TAMPA, FL

Past

July 31, 2008 - July 23, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

TAMPA, FL

Past

May 3, 2005 - December 31, 2005

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

August 3, 2000 - March 23, 2005

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SCOTTSDALE, AZ

Past

December 7, 1999 - March 23, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 25, 1998 - November 23, 1999

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

January 1, 1996 - December 14, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 1, 1996 - December 14, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

November 18, 1994 - March 6, 1995

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

November 18, 1994 - March 6, 1995

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

July 31, 1993 - November 30, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 8, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

CRD#: 206518 / SEC#: 801-127246

RIA

Registered Investment Advisory firm - (1/20/2023 Approved)

Florida

Registered Investment Advisory firm - (7/17/2023 Terminated)

Georgia

Registered Investment Advisory firm - (8/3/2023 Terminated)

Illinois

Registered Investment Advisory firm - (7/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/2008

General Securities Representative Examination

Current Firm

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

CRD#: 206518 / SEC#: 801-127246

RIA

Registered Investment Advisory firm - (1/20/2023 Approved)

Florida

Registered Investment Advisory firm - (7/17/2023 Terminated)

Georgia

Registered Investment Advisory firm - (8/3/2023 Terminated)

Illinois

Registered Investment Advisory firm - (7/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2023 Terminated)

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Contact information

Main Address

111 W. Oak Avenue Ste 450, Tampa, FL 33602

Mailing Address

Phone number

(866) 929-3258

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (8/5/2025)

Regulatory assets under management

Total Number of Accounts	582
AUM (Assets Under Management)	$ 220,278,095

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

John J. Rosenfeld

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

SINGER WEALTH ADVISORS INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

INVESTORS CAPITAL CORP.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

ESSEX NATIONAL SECURITIES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2009

Series 63

Date: 9/3/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/30/2008

Current Firm

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

TRUST BUT VERIFY

Contact information

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