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DR

David Rosensweet

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CRD#: 3209153
DR
David Rosensweet

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Rosensweet, CIMA®, who also goes by David Joshua Rosensweet Mr, David Joshua Rosensweet, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1999. David had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Aliases

David Joshua Rosensweet Mr | David Joshua Rosensweet

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Past

April 29, 2026 - August 10, 2026

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

RIA
CRD#: 38357
Livingston, NJ
Past

April 29, 2026 - August 10, 2026

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

BD
CRD#: 38357
Livingston, NJ
Past

February 23, 2016 - March 19, 2026

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
New York City, NY
Past

January 21, 2016 - March 19, 2026

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
New York City, NY
Past

September 17, 2013 - October 27, 2015

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

June 15, 2010 - September 20, 2013

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY
Past

September 21, 2007 - February 23, 2010

TOUCHSTONE ADVISORS INC

RIA
CRD#: 107028
CINCINNATI, OH
Past

September 20, 2007 - February 23, 2010

TOUCHSTONE SECURITIES, LLC

BD
CRD#: 1526
CINCINNATI, OH
Past

June 19, 2006 - September 11, 2007

COHEN & STEERS SECURITIES, LLC

BD
CRD#: 29258
NEW YORK, NY
Past

July 1, 2003 - June 5, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PARAMUS, NJ
Past

July 1, 2003 - June 5, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PARAMUS, NJ
Past

June 20, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
PARAMUS, NJ
Past

May 12, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
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".
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC | LAWCO FINANCIAL L.L.C. | LARSONALLEN PRIVATE FINANCIAL ADVISORS | LARSONALLEN FINANCIAL, LLC | LARSONALLEN FINANCIAL

CRD#: 38357 / SEC#: 801-57242, 8-48239

RIA
Registered Investment Advisory firm - SEC (2/23/2000 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/23/2016
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/7/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/24/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/1999
General Securities Representative Examination

Current Firm

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC | LAWCO FINANCIAL L.L.C. | LARSONALLEN PRIVATE FINANCIAL ADVISORS | LARSONALLEN FINANCIAL, LLC | LARSONALLEN FINANCIAL

CRD#: 38357 / SEC#: 801-57242, 8-48239

RIA
Registered Investment Advisory firm - SEC (2/23/2000 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
220 S. Sixth Street Suite 300, Minneapolis, MN 55402-1418
Mailing Address
220 S. Sixth Street Suite 300, Minneapolis, MN 55402-4505
Phone number
(612) 376-4777
Established
Minnesota since 02/16/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
151

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 03/31/2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
CLIFTONLARSONALLEN LLPSOLE MEMBER
BLAND, WILLIAM CLAYTONCHIEF EXECUTIVE OFFICER3259971
BUFFIE, BRIAN JACOBCHIEF COMPLIANCE OFFICER5532207
VAN HORRICK, JACLYN SUZANNEPRINCIPAL FINANCIAL OFFICER4587577
VAN HORRICK, JACLYN SUZANNEPRINCIPAL OPERATIONS OFFICER4587577
VAN HORRICK, JACLYN SUZANNEFINANCIAL OPERATIONS PRINCIPAL4587577

Regulatory assets under management

Total Number of Accounts22,382
AUM (Assets Under Management)$ 13,324,042,941

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/18/2025
Cover Page
Report
09/10/2024
Cover Page
Report
08/16/2023
Cover Page
Report

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.

Company Information

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

CRD#: 38357

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