Charles P. Rosen

CPR FINANCIAL & INSURANCE SERVICES

PROSPER, TX 75078

Some features on this profile are disabled

CRD#: 4589137

Professional summary

Charles Phillip Rosen, who also goes by Charles P Rosen, Chuck P Rosen, Chuck Rosen, is a registered financial advisor currently at CPR FINANCIAL & INSURANCE SERVICES, INC. located in Prosper, Texas.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Charles has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles P Rosen | Chuck P Rosen | Chuck Rosen

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)PRESIDENT OF INSURANCE AGENCY, CPR INSURANCE & FINANCIAL SERVICES (DBA IN CA) UNDER CHARLES P. ROSEN, 1464 MADERA RD., STE. N390, SIMI VALLEY, CA 93065 (MAILING ADDRESS). INDEPENDENT INS AGENT,06/2001 TO PRESENT, 120 HRS PER MONTH, NON-INVESTMENT RELATED, PHYSICAL ADDRESS 1953 GALT ST., SIMI VALLEY CA 93065. Dallas - NABIP; Dallas, TX; Not investment related; Chapter Board Trustee since 7/2024; volunteer; Advise chapter and be a mentor to less experienced board members. 3/hrs/mo. National - NABIP; Washington, DC; Not investment related; Legislative Council since 7/2024; volunteer; Help review legislative issues and and their impacts on employers, employees, and consumers. 4/hrs/mo. TX - NABIP; Dallas, TX; Not investment related; Director/TX Legislative Chair since 07/2025; Update local chapter and EC or legislative updates; 4/hrs/mo. Dallas Chapter of NABIP; Dallas, TX; Not investment related; Legislative Chair and Board Trustee since 07/2025; Update membership legislative activities both on a state and federal level; 4/hs/mo.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Phillip Rosen'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

January 15, 2008 - Present

CPR FINANCIAL & INSURANCE SERVICES, INC.

Office #1: 603 E. Broadway St, Prosper, TX 75078

RIA

CRD#: 145855

PROSPER, TX

Past

August 15, 2006 - December 5, 2007

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

January 3, 2005 - August 15, 2006

KOVACK SECURITIES INC.

RIA

CRD#: 44848

SIMI VALLEY, CA

Past

May 6, 2004 - December 5, 2007

KOVACK SECURITIES INC.

CRD#: 44848

SIMI VALLEY, CA

Past

October 18, 2002 - May 14, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

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

California
(1/15/2008)

IAR

Texas
(2/6/2015)

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

State Security Law Exam

IAR

Series 65

Date: 12/17/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/6/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/15/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CPR FINANCIAL & INSURANCE SERVICES, INC.

CPR FINANCIAL & INSURANCE SERVICES, INC. | CPR FINANCIAL SERVICES, INC.

CRD#: 145855 / SEC#:

California

Registered Investment Advisory firm - (1/15/2008 Approved)

Florida

Registered Investment Advisory firm - (9/24/2015 Approved)

Louisiana

Registered Investment Advisory firm - (3/15/2021 Approved)

Texas

Registered Investment Advisory firm - (2/6/2015 Approved)

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

603 E. Broadway St, Prosper, TX 75078

Mailing Address

Phone number

(877) 431-6997

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	756
AUM (Assets Under Management)	$ 69,347,508

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.

Similar Advisors

Sandy Giglio

INNOVATION PARTNERS LLC

Charlotte, NC

John Lappin

PFS INVESTMENTS INC.

Troy, MI

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles P. Rosen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Phillip Rosen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CPR FINANCIAL & INSURANCE SERVICES, INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

KOVACK SECURITIES INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/2004

Series 63

Date: 10/17/2002

Series 7

Date: 8/6/2004

Series 6

Date: 10/15/2002

Current Firm

CPR FINANCIAL & INSURANCE SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CPR FINANCIAL & INSURANCE SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors