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JR

James A. Rosebrough Jr

STRATEGIC FINANCIAL GROUP, PLC
MESA, AZ
·CRD# 4355308·25 years experience

Professional Summary

James A. Rosebrough JR is a registered financial advisor currently at STRATEGIC FINANCIAL GROUP, PLC located in Mesa, 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.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

STRATEGIC FINANCIAL GROUP, PLC·CRD# 175153
RIA
Mesa, AZ
April 1, 2015 - Present
VERUS CAPITAL PARTNERS, LLC·CRD# 151568
RIA
Gilbert, AZ
January 1, 2015 - March 9, 2015
VERUS CAPITAL PARTNERS, LLC·CRD# 151568
RIA
Gilbert, AZ
October 23, 2013 - December 31, 2014
SECURITIES AMERICA, INC.·CRD# 10205
BD
Gilbert, AZ
September 20, 2013 - February 5, 2015
LPL FINANCIAL LLC·CRD# 6413
BD
Gilbert, AZ
January 3, 2013 - September 12, 2013
LPL FINANCIAL LLC·CRD# 6413
RIA
Gilbert, AZ
January 2, 2013 - September 12, 2013
LPL FINANCIAL LLC·CRD# 6413
RIA
Gilbert, AZ
January 7, 2010 - December 31, 2012
LPL FINANCIAL LLC·CRD# 6413
BD
Gilbert, AZ
January 20, 2009 - December 31, 2012
CUE FINANCIAL GROUP, INC.·CRD# 21033
BD
Tempe, AZ
October 28, 2008 - January 21, 2009
NATCITY INVESTMENTS, INC.·CRD# 17490
BD
Dayton, OH
February 6, 2007 - September 4, 2008
LPL FINANCIAL LLC·CRD# 6413
RIA
Centerville, OH
March 13, 2003 - February 6, 2007
LPL FINANCIAL LLC·CRD# 6413
BD
Centerville, OH
January 23, 2003 - February 6, 2007
EDWARD JONES·CRD# 250
BD
St. Louis, MO
April 17, 2001 - January 10, 2003

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Current Firm

SF
STRATEGIC FINANCIAL GROUP, PLC

STRATEGIC FINANCIAL GROUP, PLC

CRD#: 175153
Arizona
Registered Investment Advisory firm - Arizona (4/1/2015 Approved)
Texas
Registered Investment Advisory firm - Texas (9/29/2015 Conditional Restricted)

Contact Information

Main Address

Mesa, AZ

Phone Number

(480) 634-8788

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

129

AUM (Assets Under Management)

$16,707,701

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
07/21/2026Cover PageReport
09/24/2025Cover PageReport

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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 18, 2017, to become the Administrative Member of a series of member-managed limited liability companies (“LLCs” or “Lending LLCs”) being formed by persons who wish to make loans to borrowers who will secure their loans by deeds of trust (sometimes “DOTs”) recorded against real estate. AZDOT, LLC as the Administrative Member, will seek organizers and administer the setup of LLCs to make the loans and see that DOTs in first position on real properties located in Arizona. Currently AZDOT, LLC is the Managing Member for the AZDOT Income Fund 3, LLC, a Reg-D fund, of which Mr. Rosebrough is the fund’s Manager. AZDOT, LLC is also a Member of ATHB Fund Management, LLC, which manages the Andrew The Home Buyer Income Fund, LLC where Mr. Rosebrough is the Chief Investment Officer. Mr. Rosebrough devotes about 30% of his time on these endeavors. 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 W Capital LLC, in Phoenix Az. This takes apprx. 10% of his time.

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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.
IAR
Arizona
(4/1/2015)
IAR
Texas
(9/29/2015)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2009About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2001About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2012About the Series 24 exam

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CRS (Client Relationship Summary) - RIA

Click below to view James A. Rosebrough JR's CRS (Customer Relationship Summary).

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