AR
Allan E. Rosen
CETERA INVESTMENT ADVISERS LLC
PHOENIX, AZ
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CRD#: 1146570
AR
Professional summary
Allan Eugene Rosen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Allan has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 22, Series 24 and Series 39 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.
1) NAME OF OTHER BUSINESS: INSURANCE,|
INVESTMENT RELATED: NO,|
ADDRESS: 4646 E. VAN BUREN ST. SUITE 190, PHOENIX, AZ. 85008.|
NATURE OF BUSINESS: SALE OF FIXED INSURANCE (LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE),|
POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE,|
START DATE: 02/24/2012,|
APX NUMBER OF HOURS PER MONTH: N/A,|
APX NUMBER OF HOURS DURING TRADING HOURS: N/A,|
BRIEF DESCRIPTION OF DUTIES: SALE OF VARIOUS INSURANCE COMPANIES AS A REPRESENTATIVE;|
2) NAME OF OTHER BUSINESS: ROSEN INVESTMENT ADVISORS, LTD.,|
INVESTMENT RELATED: YES,|
ADDRESS: 4646 E. VAN BUREN ST. SUITE 190, PHOENIX, AZ. 85008.|
NATURE OF BUSINESS: FINANCIAL SERVICES
POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER,|
START DATE: 05/1982,|
APX NUMBER OF HOURS PER WEEK: 40 HOURS,|
APX NUMBER OF HOURS DURING TRADING HOURS: N/A,|
BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL ADVICE TO CLIENTS..;|
3) NAME OF OTHER BUSINESS: KAUKALOA ACRES PRIVATE WATER COMPANY ;
INVESTMENT RELATED: NO ;
ADDRESS: SAME AS RESIDENTIAL LOCATION ;
NATURE OF BUSINESS: NON-PROFIT ;
START DATE: 10/2019 ;
POSITION/TITLE/RELATIONSHIP: PRESIDENT ;
APX NUMBER OF HOURS PER WEEK: 1 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 1 ;
BRIEF DESCRIPTION OF DUTIES: APPROVE BUDGET, REPAIRS & EXPENDITURES, HOLD MEETINGS AND CONDUCT GENERAL BUSINESS ;
CRS (Client Relationship Summary) - RIA
Click below to view Allan Eugene Rosen'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #3: 7702 East Doubletree Ranch Rd Suite 300, Scottsdale, AZ 85258RIA
CRD#: 105644
PHOENIX, AZ
Current
December 5, 2007 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7702 East Doubletree Ranch Rd Suite 300, Scottsdale, AZ 85258BD
CRD#: 13572
Scottsdale, AZ
Past
January 28, 2009 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 30, 2004 - December 4, 2007
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
PHOENIX, AZ
Past
December 10, 1999 - August 23, 2004
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
May 11, 1999 - March 24, 2005
ARCHON SECURITIES, LLC
BD
CRD#: 46146
PHOENIX, AZ
Past
May 19, 1992 - August 17, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 1, 1987 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
February 6, 1984 - October 23, 1987
BOARDWALK CAPITAL CORPORATION
BD
CRD#: 10279
Past
September 15, 1983 - January 4, 1984
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/5/2007)
IAR
Arizona(6/29/2023)
RR
California(12/5/2007)
RR
Colorado(12/5/2007)
RR
Florida(10/4/2012)
IAR
Hawaii(6/29/2023)
RR
Idaho(3/18/2010)
RR
Illinois(9/5/2017)
RR
Indiana(12/6/2007)
RR
Kentucky(4/1/2013)
RR
Maryland(3/20/2013)
RR
Michigan(12/5/2007)
RR
Montana(12/5/2007)
RR
Nevada(8/21/2024)
RR
New Hampshire(1/9/2020)
RR
New Mexico(12/5/2007)
RR
New York(8/9/2016)
RR
Ohio(6/7/2011)
RR
Oregon(1/9/2020)
RR
Tennessee(11/15/2023)
RR
Texas(12/5/2007)
IAR
Texas(6/29/2023)
RR
Utah(12/5/2007)
RR
Virginia(12/5/2007)
RR
Washington(12/5/2007)
RR
Wisconsin(12/5/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
