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MR

Michael J. Rosado

PHX FINANCIAL
New York, NY 10005
Some features on this profile are disabled
CRD#: 4276400
MR

Professional summary

Michael J Rosado is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Michael J Rosado'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

January 6, 2026 - Present

PHX FINANCIAL, INC.

Office #1: 100 Wall Street Floor 10, New York, NY 10005
BD
CRD#: 144403
New York, NY
Past

May 10, 2018 - January 5, 2026

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

February 23, 2010 - May 7, 2018

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

September 9, 2003 - March 8, 2010

COLUMBUS ADVISORY GROUP, LTD.

BD
CRD#: 126331
NEW YORK, NY
Past

February 26, 2003 - September 9, 2003

COMMERCE ONE FINANCIAL INC.

BD
CRD#: 100340
SYOSSET, NY
Past

October 15, 2002 - October 29, 2002

PHD CAPITAL

BD
CRD#: 38785
NEW YORK, NY
Past

September 29, 2000 - July 22, 2002

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(2/1/2026)
RR
California
(1/15/2026)
RR
Georgia
(2/2/2026)
RR
Kansas
(1/15/2026)
RR
Kentucky
(2/1/2026)
RR
Maryland
(1/15/2026)
RR
New Jersey
(1/6/2026)
RR
New York
(1/6/2026)
RR
South Carolina
(2/1/2026)
RR
Texas
(1/15/2026)
RR
Virginia
(1/15/2026)
RR
Wisconsin
(2/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/2000
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: 1/26/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 9/28/2000
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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

PHX FINANCIAL, INC.

CRD#: 144403New York, NY 10005

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