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JR

James A. Rosebrough

STRATEGIC FINANCIAL GROUP, PLC
MESA, AZ
Some features on this profile are disabled
CRD#: 4355308
JR
James A. Rosebrough JRSTRATEGIC FINANCIAL GROUP, PLC

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

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 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.

Blog Corner

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®
None

Experience

Current

April 1, 2015 - Present

STRATEGIC FINANCIAL GROUP, PLC

RIA
CRD#: 175153
MESA, 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
IAR
Series 65
Date: 3/2/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/2012
General Securities Principal Examination

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)
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Contact information

Main Address
Mesa, AZ
Mailing Address
Phone number
(480) 634-8788
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts129
AUM (Assets Under Management)$ 16,707,701

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
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

STRATEGIC FINANCIAL GROUP, PLC

CRD#: 175153Mesa, AZ

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