TR
Timothy C. Rozelle
RETIREMENT PLAN ADVISORS
Chicago, IL 60602-3205
Some features on this profile are disabled
CRD#: 1659572
TR
Professional summary
Timothy Charles Rozelle is a registered financial advisor currently at RETIREMENT PLAN ADVISORS, LLC located in Chicago, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Comstock Park, Michigan.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Timothy has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 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) FRONTLINE COMMUNITY CHURCH,4411 PLAINFIELD AVE.,GRAND RAPIDS, MI, 6/2018 AS FINANCE COMMITTEE MEMBER. NIR - 1/WK - 0/TRADING. 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) RETIREMENT PLAN ADVISORS, PO BOX 98, COMSTOCK PARK, MI 49321; INVESTMENT RELATED; START DATE 1/1/02; POSITION: REGISTERED REP DEVOTING 25 HRS/MTHLY NONE DURING TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Charles Rozelle'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 15, 2010 - Present
RETIREMENT PLAN ADVISORS, LLC
Office #1: 29 E. Madison St. Suite 500, Chicago, IL 60602-3205RIA
CRD#: 122758
Chicago, IL
Current
April 5, 2000 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
COMSTOCK PARK, MI
Past
March 12, 1996 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
February 21, 1995 - June 27, 1996
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
January 1, 1991 - February 29, 1996
STATE FIRST FINANCIAL, INC.
BD
CRD#: 26375
Past
September 4, 1987 - January 17, 1991
CENTENNIAL FINANCIAL SERVICES, INC.
BD
CRD#: 15819
LANSING, MI
Past
April 29, 1987 - June 5, 1987
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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".
RP
RETIREMENT PLAN ADVISORS, LLC
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
RIA
Registered Investment Advisory firm - (7/14/2004 Approved)Arizona
Registered Investment Advisory firm - (8/2/2004 Terminated)Colorado
Registered Investment Advisory firm - (10/13/2006 Terminated)Iowa
Registered Investment Advisory firm - (8/2/2004 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (8/2/2004 Terminated)Nevada
Registered Investment Advisory firm - (8/2/2004 Terminated)Texas
Registered Investment Advisory firm - (7/28/2004 Terminated)Wisconsin
Registered Investment Advisory firm - (2/11/2003 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.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
Florida(6/1/2011)
RR
Michigan(4/5/2000)
IAR
Michigan(9/28/2010)
RR
Oklahoma(1/29/2020)
RR
Utah(10/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RP
RETIREMENT PLAN ADVISORS, LLC
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
RIA
Registered Investment Advisory firm - (7/14/2004 Approved)Arizona
Registered Investment Advisory firm - (8/2/2004 Terminated)Colorado
Registered Investment Advisory firm - (10/13/2006 Terminated)Iowa
Registered Investment Advisory firm - (8/2/2004 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (8/2/2004 Terminated)Nevada
Registered Investment Advisory firm - (8/2/2004 Terminated)Texas
Registered Investment Advisory firm - (7/28/2004 Terminated)Wisconsin
Registered Investment Advisory firm - (2/11/2003 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
29 E. Madison St. Suite 500, Chicago, IL 60602-3205
Mailing Address
Phone number
(312) 701-1100
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,148 |
| AUM (Assets Under Management) | $ 1,882,191,054 |
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.
