RR
Ruben V. Rozental
PGI WEALTH MANAGEMENT
CORAL GABLES, FL 33155
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CRD#: 1331297
RR
Professional summary
Ruben Victor Rozental is a registered financial advisor currently at PGI WEALTH MANAGEMENT located in Coral Gables, Florida.
Ruben is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Ruben has worked at 6 firms and has passed the Series 63, Series 65 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.
1)Managing Member Ruben Rozental has a financial affiliated business as an independent insurance agent. Approximately 25% of his time is spent on these activities. He may offer Clients services from this activity. As an insurance agent, he may receive separate yet typical compensation. This is Investment Related.
CRS (Client Relationship Summary) - RIA
Click below to view Ruben Victor Rozental'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
March 11, 2020 - Present
PGI WEALTH MANAGEMENT
Office #1: 350 Sevilla Avenue Suite 100, Coral Gables, FL 33155RIA
CRD#: 297517
CORAL GABLES, FL
Past
April 21, 2011 - April 29, 2020
BLACK PEARL FINANCIAL SERVICES LLC
RIA
CRD#: 156700
Coral Gables, FL
Past
October 26, 2009 - February 22, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SUNRISE, FL
Past
July 16, 2004 - June 29, 2009
ROZENTAL ASSET MANAGEMENT (RAM), LLC
RIA
CRD#: 132072
FORT LAUDERDALE, FL
Past
April 30, 2004 - June 1, 2004
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
January 24, 1985 - August 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CORAL GABLES, FL
Past
January 23, 1985 - August 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
PW
PGI WEALTH MANAGEMENT
GREYLIN INVESTMENT MANAGEMENT | TAILORED WEALTH MANAGEMENT | PHILIP JAMES WEALTH MANAGEMENT, LLC | PGI WEALTH MANAGEMENT
CRD#: 297517 / SEC#: 801-119808
RIA
Registered Investment Advisory firm - (11/13/2020 Approved)Arizona
Registered Investment Advisory firm - (11/20/2020 Terminated)Colorado
Registered Investment Advisory firm - (11/30/2020 Terminated)Florida
Registered Investment Advisory firm - (11/16/2020 Terminated)Georgia
Registered Investment Advisory firm - (11/18/2020 Terminated)Minnesota
Registered Investment Advisory firm - (12/11/2020 Terminated)Texas
Registered Investment Advisory firm - (11/16/2020 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
Florida(3/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
PW
PGI WEALTH MANAGEMENT
GREYLIN INVESTMENT MANAGEMENT | TAILORED WEALTH MANAGEMENT | PHILIP JAMES WEALTH MANAGEMENT, LLC | PGI WEALTH MANAGEMENT
CRD#: 297517 / SEC#: 801-119808
RIA
Registered Investment Advisory firm - (11/13/2020 Approved)Arizona
Registered Investment Advisory firm - (11/20/2020 Terminated)Colorado
Registered Investment Advisory firm - (11/30/2020 Terminated)Florida
Registered Investment Advisory firm - (11/16/2020 Terminated)Georgia
Registered Investment Advisory firm - (11/18/2020 Terminated)Minnesota
Registered Investment Advisory firm - (12/11/2020 Terminated)Texas
Registered Investment Advisory firm - (11/16/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13680 Highway 9 Suite C100, Milton, GA 30004
Mailing Address
Phone number
(888) 493-9022
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,519 |
| AUM (Assets Under Management) | $ 932,031,197 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PGI WEALTH MANAGEMENT
CRD#: 297517Coral Gables, FL 33155TRUST BUT VERIFY
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