Marshall L. Rosen

OSAIC WEALTH | Chief Financial Officer at 360Via

Fort Lauderdale, FL 33309

CRD#: 1505725

Professional summary

Marshall Lee Rosen is a registered financial advisor currently at OSAIC WEALTH, INC. located in Fort Lauderdale, Florida.

Marshall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Marshall has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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) MLR CFN LLC POS:MGR NATURE:LLC INV RELATED: No # OF HRS:4SECURITIES TRADING HRS:0START DATE:10/1/16 ADDY:2331 NE 46th St. Lighthouse Pt FL 33064,DESCRIPT:LLC tax purposes only 2) CREATIVE FINANCIAL PROPERTY&CASUALTY GROUP LLC POS: PTR NATURE:LLC represent prop/casualty biz INVESTMENT RELATED: Yes # OF HRS:5 SECURITIES TRADING HRS:5 START DATE: 6/6/17 ADDY:5310 NW 33 Ave, Ste 206, Ft Lauderdale FL 33309, DESCRIPT: assist overseeing ops .3)CREATIVE FINANCIAL NETWORK POS:COO NATURE: Corp INVESTMENT RELATED: Yes # OF HRS: 200 SECURITIES TRADING HRS: 200 START DATE: 10/7/16 ADDY: 5310 NW 33 AVE, STE 206, Ft. Lauderdale FL 33309, DESCRIPT: day/day ops, sell various insurance. 4)CFN PROPERTY MGMT LLC POS: MGR NATURE: LLC INVESTMENT RELATED: Yes # OF HRS:4 SECURITIES TRADING HRS: 0 START DATE: 5/1/20 ADDY:5310 NW 33rd Ave, Ste 206, Ft Lauderdale FL 33309, DESCRIPT: Co-owner of 2 multi-tenant residential rental properties/Landlord duties 5)SUGAR BEAR LODGE LLC POS: MGR NATURE: LLC INVESTMENT RELATED: Yes # OF HRS:2 SECURITIES TRADING HRS: 0 START DATE:5/1/20 ADDY:155 Sugar Bear Rdg Ln, Banner Elk NC 28604, DESCRIPT: Co-owner of a vacation rental home/Rental & MGR duties done by property MRG company we hired /receives percentage of rental income. 6)AMERILIFE POS: MGR NATURE: Corp INVESTMENT RELATED: Yes # OF HRS: 200 SECURITIES TRADING HRS: 200 START DATE: 11/1/20 ADDRESS: 2650 Mc Cormick Dr, Clearwater FL 33759, DESCRIPTION: general manager duties as employee of AmeriLife 7) CREATIVE FINANCIAL HOLDCO POSITION: MGR NATURE: LLC INVESTMENT RELATED: No NUMBER OF HRS: 160 SECURITIES TRADING HRS: 160 START DATE: 10/7/20 ADDRESS: 5310 NW 33rd Ave, Suite 206, Ft Lauderdale FL 33309, DESCRIPT:pass thru holding co. for biz payrolls 8) CFN FL HOLDINGS LLC POS: MGR NATURE: LLC - created on advise of attorney INVESTMENT RELATED: Yes NUMBER OF HRS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/7/20 ADDRESS: 5310 NW 33rd Ave, Suite 206, Fort Lauderdale FL 33309, DESCRIPT: one of the owners of the LLC that was created for distributions of earnings 8) AL MARKETING LLC POSITION: MGR NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/7/20 ADDRESS: 2650 Mc Cormick Dr, Clearwater FL 33759, US DESCRIPT: no duties - this is a holding company LLC that we use for payroll purposes 10) CFPC FL HOLDINGS LLC POSITION: MGR NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HRS: 1 SECURITIES TRADING HRS:1 START DATE:10/7/20 ADDRESS: 5310 NW 33rd Ave, Ste 206, FT Lauderdale FL 33309, DESCRIPT: this is pass thru holding Co for business purposes 9) COCONUT KEY PROPERTY OWNERS ASSOC INC POSITION: Treasurer NATURE: homeowners association INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 3/7/22 ADDRESS: Coconut Key Lane, Delray Beach FL 33484, DESCRIPT: treasurer for the association, no check writing responsibilities 10) CFN FL HOLDINGS LLC GMD PROPERTY & CASUALTY LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 4/3/23ADDRESS: 5310 Nw 33rd Ave, Ste 206, Fort Lauderdale FL 33309 DESCRIPT: Over see company - am not involved in the day to day activities.11) DELUXE CHARTERS LLC POSITION:OWNER/MGR NATURE:LLC INVESTMENT RELATED:NO TRADING HRS:8 SECURITIES TRADING HRS START DATE: 1/3/23 ADDY:2331 NE 46TH ST LIGHTHOUSE PT FL 33064 DESCRIPT:OPERATE A BOAT CHARTING BUSINESS 12. ELLIOTT WEALTH MGMT SERVICES LLC POSITION: Manager NATURE: Single Member LLC INVESTMENT RELATED: Yes NUMBER OF HRS: 1 SECURITIES TRADING HRS: 1 START DATE: 4/1/24ADDY: 5310 NW 33rd Ave, Ste 206, Fort Lauderdale FL 33309 DESCRIPT: Own the LLC only to protect the name from anyone else using it. NO DUTIES 11)DELUXE CHARTERS LLC POSITION: Owner/MGR NATURE: LLC INVESTMENT RELATED: No # OF HRS: 8 SECURITIES TRADING HRS: 0 START DATE: 1/3/23 ADDY: 4699 N Federal Hwy, # 209N, Pompano Beach FL 33064 DESCRIPT: Run/operate a boat chartering business/taking passengers

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marshall Lee Rosen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Marshall Lee Rosen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 5310 Nw 33 Ave. Suite 206, Fort Lauderdale, FL 33309Office #2: 1111 Hypoluxo Rd. Suite 206, Lantana, FL 33462

RIA

CRD#: 23131

Fort Lauderdale, FL

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 5310 Nw 33 Ave. Suite 206, Fort Lauderdale, FL 33309Office #2: 1111 Hypoluxo Rd. Suite 206, Lantana, FL 33462

RIA

CRD#: 23131

Fort Lauderdale, FL

Past

July 28, 2016 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

FORT LAUDERDALE, FL

Past

July 27, 2016 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

FORT LAUDERDALE, FL

Past

December 19, 2007 - July 19, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

FORT LAUDERDALE, FL

Past

September 8, 1986 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

ELMIRA, NY

Past

September 8, 1986 - July 19, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

FORT LAUDERDALE, FL

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

Alabama
(9/1/2023)

Alaska
(9/1/2023)

Arizona
(9/1/2023)

Arkansas
(9/1/2023)

California
(9/1/2023)

IAR

California
(9/1/2023)

Colorado
(9/1/2023)

Connecticut
(9/1/2023)

IAR

Connecticut
(9/1/2023)

Delaware
(9/1/2023)

IAR

Delaware
(9/1/2023)

District of Columbia
(9/1/2023)

Florida
(9/1/2023)

IAR

Florida
(9/1/2023)

Georgia
(9/1/2023)

IAR

Georgia
(9/1/2023)

Hawaii
(9/1/2023)

IAR

Hawaii
(9/1/2023)

Idaho
(9/1/2023)

Illinois
(9/1/2023)

Indiana
(9/1/2023)

Iowa
(9/1/2023)

Kansas
(9/1/2023)

IAR

Kansas
(9/1/2023)

Kentucky
(9/1/2023)

Louisiana
(9/1/2023)

Maine
(9/1/2023)

Maryland
(9/1/2023)

IAR

Maryland
(9/1/2023)

Massachusetts
(9/1/2023)

IAR

Massachusetts
(9/1/2023)

Michigan
(9/1/2023)

Minnesota
(9/1/2023)

IAR

Minnesota
(9/1/2023)

Mississippi
(9/1/2023)

Missouri
(9/1/2023)

Montana
(8/29/2025)

Nebraska
(9/1/2023)

Nevada
(9/1/2023)

New Hampshire
(9/1/2023)

New Jersey
(9/1/2023)

IAR

New Jersey
(9/1/2023)

New Mexico
(9/1/2023)

New York
(9/1/2023)

North Carolina
(9/1/2023)

IAR

North Carolina
(9/1/2023)

North Dakota
(9/1/2023)

Ohio
(9/1/2023)

Oklahoma
(9/1/2023)

Oregon
(9/1/2023)

Pennsylvania
(9/1/2023)

IAR

Pennsylvania
(9/1/2023)

Puerto Rico
(9/1/2023)

Rhode Island
(12/4/2023)

South Carolina
(9/1/2023)

IAR

South Carolina
(9/1/2023)

South Dakota
(9/1/2023)

Tennessee
(9/1/2023)

Texas
(9/1/2023)

IAR

Texas
(9/1/2023)

Utah
(12/4/2023)

Vermont
(9/1/2023)

Virginia
(9/1/2023)

IAR

Virginia
(9/1/2023)

Washington
(9/1/2023)

IAR

Washington
(9/1/2023)

West Virginia
(9/1/2023)

Wisconsin
(9/1/2023)

Wyoming
(9/1/2023)

IAR

Wyoming
(9/1/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/5/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/2/1987

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: 2/1/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/5/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/10/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marshall L. Rosen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marshall Lee Rosen's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Marshall Lee Rosen's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/5/2007

Series 63

Date: 11/2/1987

SIE

Date: 10/1/2018

Series 7

Date: 2/1/2001

Series 6

Date: 9/5/1986

Series 24

Date: 10/9/2002

Series 26

Date: 12/10/1998

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Contact information

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