Ross Alan Rozen
Professional Summary
Ross Alan Rozen was a registered financial advisor. Ross was a previously registered financial professional and started their career in finance 1991 - 2000. Ross had worked at 3 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
35 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
FINANCIAL PROGRAMS, INC. | INVESCO FUNDS GROUP, INC. | INVESCO DISTRIBUTORS, INC.
Contact Information
Established
Delaware since 08/14/1997Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO | SOLE SHAREHOLDER OF IDI | 106529 |
| CAROME, KEVIN MICHAEL | DIRECTOR, VICE PRESIDENT | 4307331 |
| HAWLEY, DAWN MARIE | TREASURER, VICE PRESIDENT | 1771748 |
| MAYO, OFELIA MARINA | GENERAL COUNSEL, VICE PRESIDENT | 1682909 |
| MOSS, LISA ANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2722352 |
| NEEDLES, GENE LOUIS JR | PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER | 1068224 |
| STARLING-KLATT, REBECCA ALLISON | CHIEF COMPLIANCE OFFICER | 2385771 |
| WILLIAMSON, MARK HURST | DIRECTOR, CHAIRMAN | 820997 |
Disclosures
Regulatory Event
4Arbitration
1Bond
3Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
The advisor shows no other business activity.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1991About the Series 6 examSimilar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
