Rosa Shala

TUCKER ASSET MANAGEMENT LLC

St. Augustine Beach, FL 32080

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CRD#: 2476439

Professional summary

Rosa Shala, CFP®, who also goes by Rosa Gjelaj, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in St. Augustine Beach, Florida.

Rosa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Rosa has worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rosa Gjelaj

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosa Shala'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

March 6, 2024 - Present

TUCKER ASSET MANAGEMENT LLC

Office #1: 320 High Tide Dr, St. Augustine Beach, FL 32080

RIA

CRD#: 174844

St. Augustine Beach, FL

Past

July 21, 2022 - March 4, 2024

WEALTH WATCH ADVISORS, INC

RIA

CRD#: 172002

St Augustine Beach, FL

Past

July 25, 2017 - July 19, 2022

SOUND INCOME STRATEGIES, LLC

RIA

CRD#: 173272

St Augustine Beach, FL

Past

April 30, 2008 - August 18, 2008

EVOLVE SECURITIES, INC.

CRD#: 127474

OCALA, FL

Past

October 21, 2003 - April 30, 2008

AFS BROKERAGE, INC.

CRD#: 25924

OCALA, FL

Past

January 14, 2003 - September 15, 2003

AFS BROKERAGE, INC.

CRD#: 25924

AUSTIN, TX

Past

February 16, 2002 - November 19, 2002

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

April 11, 2000 - February 16, 2002

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

March 6, 2000 - April 3, 2000

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

December 23, 1996 - December 12, 1997

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

May 24, 1994 - August 31, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(3/6/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/30/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/23/1994

General Securities Representative Examination

Current Firm

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 Terminated)

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Contact information

Main Address

1520 West Canal Court Suite 100, Littleton, CO 80120

Mailing Address

Phone number

(303) 734-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,243
AUM (Assets Under Management)	$ 640,805,363

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.

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Advisor Monitoring

Firm Stability Insights

Rosa Shala

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosa Shala's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH WATCH ADVISORS, INC

SOUND INCOME STRATEGIES, LLC

EVOLVE SECURITIES, INC.

AFS BROKERAGE, INC.

AFS BROKERAGE, INC.

TRUIST INVESTMENT SERVICES, INC.

THE HUNTINGTON INVESTMENT COMPANY

OSAIC FS, INC.

BARNETT INVESTMENTS, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TUCKER ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/13/2017

Series 63

Date: 9/30/2004

Series 7

Date: 5/23/1994

Current Firm

TUCKER ASSET MANAGEMENT LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUCKER ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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