AR
Alan E. Rosenfield
HARMONY ASSET MANAGEMENT LLC
SCOTTSDALE, AZ 85254
Some features on this profile are disabled
CRD#: 1129174
AR
Professional summary
Alan Edward Rosenfield is a registered financial advisor currently at HARMONY ASSET MANAGEMENT LLC located in Scottsdale, Arizona.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Alan has worked at 7 firms and has passed the Series 65, Series 63, Series 15 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Managing member of FiBD Investments - oversees private investments for Harmony Asset Management clients. The last investment was
made in 2008. I do not get paid anything for this work - my responsibilities are only to provide updates on the investments. The total time
related to this is less than an hour per month. FiBD Investments had it's first investment in 2006.
HARMONY RESEARCH & COMPLIANCE LLC
SCOTTSDALE, AZ
SINCE 01/01/2021
MANAGING MEMBER
PROVIDES RESEARCH IDEAS, INVESTMENT STRATIGIES AND MODELS TO HARMONY AM. ALSO PROVIDE COMPLIANCE TO HARMONY AM
CRS (Client Relationship Summary) - RIA
Click below to view Alan Edward Rosenfield's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 22, 2003 - Present
HARMONY ASSET MANAGEMENT LLC
Office #1: 16220 N. Scottsdale Road Suite 300, Scottsdale, AZ 85254RIA
CRD#: 116069
SCOTTSDALE, AZ
Past
February 9, 2017 - December 31, 2017
PLATINUM WEALTH PARTNERS
RIA
CRD#: 145507
Scottsdale, AZ
Past
June 26, 2003 - January 29, 2008
MELHADO, FLYNN & ASSOCIATES, INC.
BD
CRD#: 7340
NEW YORK, NY
Past
September 21, 1994 - June 29, 2001
MELHADO, FLYNN & ASSOCIATES, INC.
BD
CRD#: 7340
NEW YORK, NY
Past
April 26, 1993 - September 2, 1994
SCHNEIDER SECURITIES, INC.
BD
CRD#: 16434
DENVER, CO
Past
October 22, 1991 - March 11, 1993
MELHADO, FLYNN & ASSOCIATES, INC.
BD
CRD#: 7340
NEW YORK, NY
Past
February 16, 1990 - October 29, 1991
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
October 8, 1985 - February 14, 1990
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
BALTIMORE, MD
Past
May 25, 1983 - October 14, 1985
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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".
HA
HARMONY ASSET MANAGEMENT LLC
EXPANSION FUNDS AMERICA | ROSENFIELD, ALAN E. | HARMONY NONPROFIT | HARMONY ASSET MANAGEMENT LLC | EXPANSION FUNDS AMERICA LLC
CRD#: 116069 / SEC#: 801-118731
RIA
Registered Investment Advisory firm - (5/15/2020 Approved)Arizona
Registered Investment Advisory firm - (11/20/2020 Terminated)Florida
Registered Investment Advisory firm - (11/11/2020 Terminated)New York
Registered Investment Advisory firm - (11/11/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (12/4/2006 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(8/22/2003)
IAR
Florida(6/22/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 15
Date: 2/22/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Current Firm
HA
HARMONY ASSET MANAGEMENT LLC
EXPANSION FUNDS AMERICA | ROSENFIELD, ALAN E. | HARMONY NONPROFIT | HARMONY ASSET MANAGEMENT LLC | EXPANSION FUNDS AMERICA LLC
CRD#: 116069 / SEC#: 801-118731
RIA
Registered Investment Advisory firm - (5/15/2020 Approved)Arizona
Registered Investment Advisory firm - (11/20/2020 Terminated)Florida
Registered Investment Advisory firm - (11/11/2020 Terminated)New York
Registered Investment Advisory firm - (11/11/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (12/4/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
16220 N. Scottsdale Road Suite 300, Scottsdale, AZ 85254
Mailing Address
Phone number
(480) 314-5967
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 528 |
| AUM (Assets Under Management) | $ 393,589,232 |
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.
