AR
Aalon Rose
FIRST AMERICAN ASSET ADVISORY
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 4785931
AR
Professional summary
Aalon Rose, who also goes by Allen Rose, is a registered financial advisor currently at FIRST AMERICAN ASSET ADVISORY, LLC located in Garden City, New York and MORGAN WILSHIRE SECURITIES, INC. located in Garden City, New York.
Aalon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Aalon has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allen Rose
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.
IA with First American Asset Advisory, LLC. Has a Series 65.
CRS (Client Relationship Summary) - RIA
Click below to view Aalon Rose'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
August 5, 2021 - Present
FIRST AMERICAN ASSET ADVISORY, LLC
Office #1: 59 Hilton Avenue, Suite 101, Garden City, NY 11530RIA
CRD#: 282254
Garden City, NY
Current
October 21, 2014 - Present
MORGAN WILSHIRE SECURITIES, INC.
Office #1: 59 Hilton Ave Suite 101, Garden City, NY 11530BD
CRD#: 44807
Garden City, NY
Past
April 28, 2014 - November 13, 2014
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
April 25, 2012 - April 30, 2014
IFS SECURITIES
BD
CRD#: 40375
LAKE SUCCESS, NY
Past
November 16, 2004 - May 24, 2012
MORGAN WILSHIRE SECURITIES, INC.
BD
CRD#: 44807
GARDEN CITY, NY
Past
April 21, 2004 - October 5, 2004
COMMERCE ONE FINANCIAL INC.
BD
CRD#: 100340
SYOSSET, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FA
FIRST AMERICAN ASSET ADVISORY, LLC
FIRST AMERICAN ASSET ADVISORY, LLC | MICHAEL FINNAN | FIRST AMERICAN ASSET ADVISORY, LLC.
CRD#: 282254 / SEC#: 801-126067
RIA
Registered Investment Advisory firm - (7/21/2022 Approved)New Jersey
Registered Investment Advisory firm - (7/27/2022 Terminated)New York
Registered Investment Advisory firm - (4/5/2024 Terminated)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.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
Alabama(10/21/2014)
RR
Arizona(10/21/2014)
RR
California(10/21/2014)
RR
Colorado(10/21/2014)
RR
Connecticut(10/21/2014)
RR
Delaware(6/16/2015)
RR
Florida(10/21/2014)
RR
Illinois(10/21/2014)
RR
Indiana(2/16/2017)
RR
Kansas(9/16/2021)
RR
Louisiana(10/21/2014)
RR
Maine(10/18/2017)
RR
Maryland(6/18/2018)
RR
Massachusetts(1/4/2017)
RR
Michigan(4/8/2019)
RR
Minnesota(10/21/2014)
RR
Mississippi(2/16/2017)
RR
Missouri(10/21/2014)
RR
Montana(10/21/2014)
RR
Nevada(11/26/2018)
RR
New Hampshire(1/28/2021)
RR
New Jersey(10/21/2014)
IAR
New Jersey(8/5/2021)
RR
New York(10/29/2014)
IAR
New York(8/19/2021)
RR
North Carolina(4/14/2016)
RR
North Dakota(10/23/2018)
RR
Ohio(10/29/2014)
RR
Oklahoma(10/21/2014)
RR
Oregon(10/21/2014)
RR
Pennsylvania(10/21/2014)
RR
Puerto Rico(4/8/2015)
RR
South Carolina(10/21/2014)
RR
South Dakota(2/13/2018)
RR
Tennessee(10/16/2023)
RR
Texas(10/21/2014)
IAR
Texas(6/2/2025)
RR
Utah(10/21/2014)
RR
Vermont(10/23/2018)
RR
Virginia(10/21/2014)
RR
Washington(10/29/2014)
RR
Wisconsin(2/16/2017)
RR
Wyoming(11/29/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FA
FIRST AMERICAN ASSET ADVISORY, LLC
FIRST AMERICAN ASSET ADVISORY, LLC | MICHAEL FINNAN | FIRST AMERICAN ASSET ADVISORY, LLC.
CRD#: 282254 / SEC#: 801-126067
RIA
Registered Investment Advisory firm - (7/21/2022 Approved)New Jersey
Registered Investment Advisory firm - (7/27/2022 Terminated)New York
Registered Investment Advisory firm - (4/5/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
59 Hilton Avenue, Suite 101, Garden City, NY 11530
Mailing Address
Phone number
(516) 622-3100
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 198 |
| AUM (Assets Under Management) | $ 140,163,741 |
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.
