BR
Bradley J. Rosen
IRONVIEW CAPITAL MANAGEMENT
Brookhaven, GA
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CRD#: 3185727
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Professional summary
Bradley Jacob Rosen, who also goes by Brad Jacob Rosen, is a registered financial advisor currently at IRONVIEW CAPITAL MANAGEMENT, LLC located in Brookhaven, Georgia.
Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Bradley has worked at 9 firms and has passed the Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Jacob Rosen
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.
Bradley Jacob Rosen is a licensed insurance agent. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. Ironview Capital Management LLC always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Ironview Capital Management LLC in their capacity as a licensed insurance agent. ROSEN FINANCIAL, INC. dba Longevity Financial, PRESIDENT; STARTED 08/01/1999 APPROX- 80 hrs per month INSURANCE SALES: LONG TERM CARE, DISABILITY, TERM LIFE, HEALTH INSURANCE, INDEX LIFE AND UNIVERSAL LIFE.; NOT INVESTMENT RELATED; MAY OCCUR DURING MARKET HOURS. IRONVIEW CAPITAL MANAGEMENT, INSRUANCE SALES; FED REFERALS FROM CO. APPROXIMATELY 10 HRS PER MONTH, STARTED 03/15/2016; MAY OCCUR DURING MARKET HOURS; NOT INVESTMENT RELATED. 5 MORE CLIENTS, BOARD MEMBER, BUSINESS NETWORKING GROUP; APPROX 2-3 HRS PER MONTH; DOES NOT OCCUR DURING MARKET HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Jacob Rosen'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
May 18, 2017 - Present
IRONVIEW CAPITAL MANAGEMENT, LLC
RIA
CRD#: 150250
Brookhaven, GA
Past
March 11, 2016 - July 1, 2016
FOREST SECURITIES,INC.
BD
CRD#: 16255
Maimi beach, FL
Past
January 5, 2012 - March 11, 2016
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
MIAMI BEACH, FL
Past
October 21, 2009 - January 10, 2012
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MIAMI BEACH, FL
Past
October 14, 2008 - October 30, 2009
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
MIAMI BEACH, FL
Past
August 1, 2008 - September 3, 2008
DIRECT CAPITAL SECURITIES, INC.
BD
CRD#: 29639
AUSTIN, TX
Past
March 2, 2005 - August 5, 2008
CAMBRIDGE LEGACY SECURITIES L.L.C.
BD
CRD#: 103722
DALLAS, TX
Past
March 13, 2000 - March 4, 2005
IMS SECURITIES, INC.
BD
CRD#: 35567
HOUSTON, TX
Past
March 15, 1999 - March 16, 2000
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
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".
IC
IRONVIEW CAPITAL MANAGEMENT, LLC
BERGIN & CO., LLC | MULLEN, BERGIN, ROBERTS & CO | IRONVIEW CAPITAL MANAGEMENT, LLC | IRONVIEW CAPITAL MANAGEMENT | BERGIN, ROBERTS & CO. LLC
CRD#: 150250 / SEC#: 801-78950
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)Florida
Registered Investment Advisory firm - (1/2/2014 Terminated)New Jersey
Registered Investment Advisory firm - (1/13/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/8/2014 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
Georgia(9/7/2021)
IAR
Pennsylvania(5/18/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IC
IRONVIEW CAPITAL MANAGEMENT, LLC
BERGIN & CO., LLC | MULLEN, BERGIN, ROBERTS & CO | IRONVIEW CAPITAL MANAGEMENT, LLC | IRONVIEW CAPITAL MANAGEMENT | BERGIN, ROBERTS & CO. LLC
CRD#: 150250 / SEC#: 801-78950
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)Florida
Registered Investment Advisory firm - (1/2/2014 Terminated)New Jersey
Registered Investment Advisory firm - (1/13/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/8/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 Barr Harbor Drive, Suite 400, Conshohocken, PA 19428
Mailing Address
Phone number
(215) 793-0111
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 413 |
| AUM (Assets Under Management) | $ 1,146,358,881 |
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.
