Stephen F. Rohan

GALLAGHER FIDUCIARY ADVISORS

Mt. Laurel, NJ 08054

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CRD#: 1759509

Professional summary

Stephen Francis Rohan is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Mt. Laurel, New Jersey and OSAIC WEALTH, INC. located in New York, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 11 firms and has passed the Series 65, Series 63, SIE 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) Business Name: Gallagher Fiduciary Advisors Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Investment Consulting Position: Benefit Consultant Start Date: 04/01/2022 Hours Per Month: 140 Hours Per Day: 6 Duties: Retirement plan consulting 2) Business Name: Gallagher Benefit Services Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Retirement Plan Consulting Position: Benefit Consultant Start Date: 10/06/1996 Hours Per Month: 40 Hours Per Day: 2 Duties: Retirement plan consulting

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Francis Rohan'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

April 25, 2022 - Present

GALLAGHER FIDUCIARY ADVISORS, LLC

Office #1: 4000 Midlantic Dr., Ste. 300, Mt. Laurel, NJ 08054

RIA

CRD#: 146509

Mt. Laurel, NJ

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 300 Madison Ave Floor 28, New York, NY 10017

RIA

CRD#: 23131

New York, NY

Past

April 1, 2022 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

New York, NY

Past

May 8, 2019 - March 31, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

White Plains, NY

Past

January 4, 2007 - March 31, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

NEW YORK, NY

Past

October 31, 1996 - December 31, 2006

GBS RETIREMENT SERVICES, INC.

CRD#: 34889

ROLLING MEADOWS, IL

Past

March 5, 1996 - May 23, 1996

ZEUS FINANCIAL, LLC

CRD#: 18192

BOCA RATON, FL

Past

February 23, 1993 - February 3, 1995

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

July 29, 1991 - June 11, 1992

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 15, 1989 - October 24, 1990

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

November 3, 1987 - June 15, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 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.

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

Florida
(8/23/2024)

IAR

New Jersey
(4/25/2022)

New Jersey
(8/23/2024)

New York
(8/23/2024)

Pennsylvania
(8/23/2024)

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 65

Date: 5/2/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/11/1987

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: 10/17/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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Contact information

Main Address

2850 Golf Road, Rolling Meadows, IL 60008

Mailing Address

Phone number

(212) 330-1011

Established

Firm type

Fiscal year end

# of Employees

221

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR RETAIL CLIENTS (4/22/2025)

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR INSTITUTIONAL CLIENTS (4/22/2025)

Regulatory assets under management

Total Number of Accounts	5,754
AUM (Assets Under Management)	$ 180,614,282,519

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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Stephen F. Rohan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Francis Rohan's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

GBS RETIREMENT SERVICES, INC.

ZEUS FINANCIAL, LLC

MONY SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

WAMU INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

GALLAGHER FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2019

Series 63

Date: 11/11/1987

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1987

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALLAGHER FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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