James S. Rose

ZACKS INVESTMENT MANAGEMENT

Maple Grove, MN

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CRD#: 2540928

Professional summary

James Scott Rose, who also goes by J. Scott Rose, James Scott Rose, Scott Rose, James Rose, is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Maple Grove, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James 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

J. Scott Rose | James Scott Rose | Scott Rose | James Rose

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 James Scott Rose'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

September 23, 2025 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

Maple Grove, MN

Past

April 12, 2023 - August 4, 2025

VECTOR WEALTH MANAGEMENT

RIA

CRD#: 152667

MINNEAPOLIS, MN

Past

February 1, 2023 - April 26, 2023

FNEX CAPITAL, LLC

CRD#: 166316

INDIANAPOLIS, IN

Past

October 21, 2021 - March 14, 2022

FISHER INVESTMENTS

RIA

CRD#: 107342

MINNEAPOLIS, MN

Past

February 6, 2018 - October 20, 2021

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

January 2, 2015 - January 18, 2017

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

March 7, 2003 - August 17, 2007

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

RIA

CRD#: 108057

STAMFORD, CT

Past

August 3, 2000 - August 10, 2000

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

May 3, 2000 - November 17, 2014

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

July 30, 1996 - April 12, 2000

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

November 8, 1994 - March 13, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(9/23/2025)

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: 9/30/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/1994

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: 11/7/1994

General Securities Representative Examination

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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

James S. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Scott Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

VECTOR WEALTH MANAGEMENT

FNEX CAPITAL, LLC

FISHER INVESTMENTS

GOLDMAN SACHS & CO. LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

STEPHENS

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

DWS DISTRIBUTORS, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2021

Series 63

Date: 11/16/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/7/1994

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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