Alan E. Rosenfield

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CRD#: 1129174

Professional summary

Alan Edward Rosenfield was a registered financial advisor .

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Alan had 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.

The advisor shows no other business activity.

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®

None

Experience

Past

February 9, 2017 - December 31, 2017

PLATINUM WEALTH PARTNERS

RIA

CRD#: 145507

Scottsdale, AZ

Past

August 22, 2003 - December 31, 2025

HARMONY ASSET MANAGEMENT LLC

RIA

CRD#: 116069

SCOTTSDALE, AZ

Past

June 26, 2003 - January 29, 2008

MELHADO, FLYNN & ASSOCIATES, INC.

CRD#: 7340

NEW YORK, NY

Past

September 21, 1994 - June 29, 2001

MELHADO, FLYNN & ASSOCIATES, INC.

CRD#: 7340

NEW YORK, NY

Past

April 26, 1993 - September 2, 1994

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

October 22, 1991 - March 11, 1993

MELHADO, FLYNN & ASSOCIATES, INC.

CRD#: 7340

NEW YORK, NY

Past

February 16, 1990 - October 29, 1991

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

October 8, 1985 - February 14, 1990

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

May 25, 1983 - October 14, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

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)

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: 8/8/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 2/22/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Current Firm

PLATINUM WEALTH PARTNERS

BERNARDO WEALTH PLANNING | PLATINUM WEALTH PARTNERS, INC. | PLATINUM WEALTH PARTNERS | CAPITAL WEALTH INVESTMENTS

CRD#: 145507 / SEC#: 801-72447

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Contact information

Main Address

100 N. Tampa Street Suite 1600, Tampa, FL 33602

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV WRAP BROCHURE (8/9/2017)

PLATINUM WEALTH PARTNERS BROCHURE (8/9/2017)

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.

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Alan E. Rosenfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARMONY ASSET MANAGEMENT LLC

MELHADO, FLYNN & ASSOCIATES, INC.

MELHADO, FLYNN & ASSOCIATES, INC.

SCHNEIDER SECURITIES, INC.

MELHADO, FLYNN & ASSOCIATES, INC.

CANTOR FITZGERALD & CO.

FERRIS, BAKER WATTS, LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/1992

Series 63

Date: 6/22/1983

Series 15

Date: 2/22/1984

Series 7

Date: 5/21/1983

Current Firm

PLATINUM WEALTH PARTNERS

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

PLATINUM WEALTH PARTNERS

TRUST BUT VERIFY

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