DR
Donald F. Rosalez
INDEPENDENT WEALTH NETWORK
Flagstaff, AZ 86001
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CRD#: 1913993
DR
Professional summary
Donald F Rosalez is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Flagstaff, Arizona.
Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Donald has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 22 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. M.A.S. FINANCIAL GROUP; 121 E BIRCH AVE, SUITE 404, FLAGSTAFF, AZ; ACCOUNTANT - ACCOUNTING AND TAX PREP; SOLE PROP (DONALD ROSALEZ); DATED STARTED 1/1/1990; 80 HOURS PER MONTH SPENT ON THIS ACTIVITY/16-20 DURING TRADING HOURS.
2. PREFERRED FINANCIAL GROUP, LLC., 16401 N 40TH STREET, PHOENIX, AZ ; MARKETING ONLY OF FIXED INS & SECURITIES; REGISTERED REP - MARKETING; 80 HOURS PER MONTH SPENT ON THIS ACTIVITY/ALL DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Donald F Rosalez'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
October 16, 2017 - Present
INDEPENDENT WEALTH NETWORK, INC.
Office #1: Preferred Wealth Management 121 E. Birch Ave, Suite 404, Flagstaff, AZ 86001RIA
CRD#: 286262
Flagstaff, AZ
Past
October 3, 2017 - September 4, 2018
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
Flagstaff, AZ
Past
August 5, 2016 - September 29, 2017
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
FLAGSTAFF, AZ
Past
January 27, 2014 - September 29, 2017
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
FLAGSTAFF, AZ
Past
September 5, 2013 - February 7, 2014
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FLAGSTAFF, AZ
Past
October 5, 2010 - March 13, 2013
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
FLAGSTAFF, AZ
Past
January 2, 2008 - April 21, 2008
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
FLAGSTAFF, AZ
Past
February 3, 1989 - November 30, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FLAGSTAFF, AZ
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".
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 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
Arizona(10/16/2017)
IAR
New Mexico(2/20/2018)
IAR
Texas(11/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2350 Nw 128th St, Urbandale, IA 50323
Mailing Address
Phone number
(515) 461-5123
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,626 |
| AUM (Assets Under Management) | $ 422,577,169 |
Red Flags
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Company Information
INDEPENDENT WEALTH NETWORK, INC.
CRD#: 286262Flagstaff, AZ 86001TRUST BUT VERIFY
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