JR
James A. Rosebrough
STRATEGIC FINANCIAL GROUP, PLC
Gilbert, AZ
Some features on this profile are disabled
CRD#: 4355308
JR
Professional summary
James A. Rosebrough JR is a registered financial advisor currently at STRATEGIC FINANCIAL GROUP, PLC located in Gilbert, Arizona.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. James A Rosebrough Jr is an owner of Islands Rental, LLC which invests in rental property. 2. Mr. Rosebrough acts as a Real Estate Agent, which accounts for approximately 5% of his time. 3. Mr. Rosebrough is licensed to sell life and health insurance and may engage in product sales or referrals with our clients, for which he will receive additional compensation. Any commissions received through life or health insurance sales do not offset advisory fees for advisory services under Mr. Rosebrough. 4. Mr. Rosebrough is licensed to sell Property and casualty insurance and may engage in product sales or referrals with our clients, for which he will receive additional compensation. Any commission received through property and casualty insurance sales do not offset advisory fees for advisory services under Mr. Rosebrough. 5. Mr. Rosebrough May received a fee up to 2% for recommendation of investment to private registered funds, including but not limited to Tradewinds, LLC. 6. Mr. Rosebrough is one of the managing members of AZDOT, LLC. AZDOT, LLC is an Arizona limited liability company which was formed on May 18th, 2017 to become the administrative Member of a series of member-managed limited liability companies (LLC's or Lending LLC's) being formed by persons who wish to make loans to borrower who will secure their loans by deeds of trust (sometimes "DOT'S) recorded against real estate. AZDOT, LLC as the Administrative Member, will seek organizers and administer the setup of LLC'S to make the loans and see that DOT'S in first position on real properties located in Arizona. Additionally, AZDOT, LLC is and Managing Member of AZDOT Income Fund 3, LLC a REGD fund, in which Mr. Rosebrough is the fund's Manager. Mr. Rosebrough devotes about 25% of his time to this endeavor. 7. Mr. Rosebrough is an owner of Common Cents Accounting, which Jenifer H Rosebrough, his wife, is also an owner and the operator of a bookkeeping and tax firm. Mr. Rosebrough works on this business 5% of the time. 8. January 2021-Mr. Rosebrough is a mortgage loan originator for Loanatik, LLC, in Phoenix Az. This takes apprx. 10% of his time.
CRS (Client Relationship Summary) - RIA
Click below to view James A. Rosebrough JR'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
April 1, 2015 - Present
STRATEGIC FINANCIAL GROUP, PLC
RIA
CRD#: 175153
Gilbert, AZ
Past
January 1, 2015 - March 9, 2015
VERUS CAPITAL PARTNERS, LLC
RIA
CRD#: 151568
GILBERT, AZ
Past
October 23, 2013 - December 31, 2014
VERUS CAPITAL PARTNERS, LLC
RIA
CRD#: 151568
GILBERT, AZ
Past
September 20, 2013 - February 5, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
GILBERT, AZ
Past
January 3, 2013 - September 12, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
GILBERT, AZ
Past
January 2, 2013 - September 12, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
GILBERT, AZ
Past
January 7, 2010 - December 31, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
GILBERT, AZ
Past
January 20, 2009 - December 31, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
GILBERT, AZ
Past
October 28, 2008 - January 21, 2009
CUE FINANCIAL GROUP, INC.
BD
CRD#: 21033
TEMPE, AZ
Past
February 6, 2007 - September 4, 2008
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
DAYTON, OH
Past
March 13, 2003 - February 6, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
CENTERVILLE, OH
Past
January 23, 2003 - February 6, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
CENTERVILLE, OH
Past
April 17, 2001 - January 10, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Arizona(4/1/2015)
IAR
Texas(9/29/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SF
STRATEGIC FINANCIAL GROUP, PLC
STRATEGIC FINANCIAL GROUP, PLC
CRD#: 175153 / SEC#:
Arizona
Registered Investment Advisory firm - (4/1/2015 Approved)Texas
Registered Investment Advisory firm - (9/29/2015 Conditional Restricted)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Mesa, AZ
Mailing Address
Phone number
(480) 634-8788
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 168 |
| AUM (Assets Under Management) | $ 17,221,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
