MR
Michael J. Rozovics
CONCURRENT INVESTMENT ADVISORS
Waunakee, WI
Some features on this profile are disabled
CRD#: 5253184
MR
Professional summary
Michael James Rozovics, AIF®, who also goes by Michael J Rozovics, Michael Rozovics, Mike Rozovics, Michael J Rozovics, is a registered financial advisor currently at CONCURRENT INVESTMENT ADVISORS, LLC located in Waunakee, Wisconsin.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Michael has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J Rozovics | Michael Rozovics | Mike Rozovics | Michael J Rozovics
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. Name of the other business: PURSHE KAPLAN STERLING INVESTMENTS (PKS) 2. Is the business investment related: Yes 3. Address of the other business: 12730 High Bluff Drive, Suite 160 San Diego, CA 92130 4. Nature of the other business: Registered Representative 5. Your position, title, or relationship with the other business: Registered Representative 6. The start date of your relationship: 5/16/2023 7. The approximate number of hours/month you devote to the other business: 4 hours/month 8. The number of hours you devote to the other business during securities trading hours: 2 hours/month 9. Briefly describe your duties relating to the other business: Financial Advisor 10. Describe method of compensation (list if advisory fees, salary or other). If other, please describe below. Commissions 1. Name of the other business: Next Retirement Solutions 2. Is the business investment related: Yes 3. Address of other business: 12730 High Bluff Drive, Suite 160 San Diego, CA 92130 4. Nature of the other business: Registered Investment Adviser (RIA) 5. Your position, title, or relationship with the other business: Investment Adviser Representative (IAR) 6. The start date of your relationship: 5/1/2016 7. The approximate number of hours/month you devote to the other business: 160 hours/month 8. The number of hours you devote to the other business during securities trading hours: 4 9. Briefly describe your duties relating to the other business: Make recommendations or otherwise give investment advice regarding securities, manage account portfolios of clients, determine which recommendation or advice regarding securities should be given based on client suitability, time horizon, risk and objects 10. Describe method of compensation: Commissions 1. Name: Michael Roz Music 2. Is the business investment related: No 3. Address: 1704 Ashlawn Ln, Waunakee, WI 53597 4. Nature: Music 5. Your position: Owner/Proprietor 6. Start date: 12/1/2014 7. The approximate number of hours/month you devote to the other business: 16 hours/month 8. The number of hours you devote to the other business during securities trading hours: 0 hours/month 9. Briefly describe your duties relating to the other business: I create, publish, perform and sell my own music. 10. Compensation: fees and royalties
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Rozovics'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®
Experience
Current
May 31, 2023 - Present
CONCURRENT INVESTMENT ADVISORS, LLC
RIA
CRD#: 323135
Waunakee, WI
Past
June 7, 2016 - June 5, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SAN DIEGO, CA
Past
May 27, 2016 - June 5, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SAN DIEGO, CA
Past
October 24, 2011 - June 1, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NAPERVILLE, IL
Past
October 4, 2011 - June 1, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NAPERVILLE, IL
Past
December 12, 2006 - December 8, 2010
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
CHICAGO, IL
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".
CI
CONCURRENT INVESTMENT ADVISORS, LLC
44 MANAGEMENT | WINE COUNTRY WEALTH | WEALTH PARTNERS ALLIANCE | VENN WEALTH MANAGEMENT | VALENTA CAPITAL MANAGEMENT | TIDWELL-PREMOCK-BASILONE PRIVATE WEALTH MANAGEMENT | THE WEALTH STEWARDS | THE HAMILTON GROUP | TAILORMADE WEALTH COUNSEL | T7 LEGACY | STAMPER WEALTH & RETIREMENT GROUP | SPHINX ADVISORY GROUP | SPECTRUM WEALTH PARTNERS | SAUER WEALTH MANAGEMENT | PRICE FINANCIAL MANAGEMENT | OLD TOWN ADVISORS | NEXT RETIREMENT SOLUTIONS | MAVERICK WEALTH ADVISORS | MATT WIGREN & LAURA CHRISTOFFERSON | LUMATURE WEALTH PARTNERS | LINDAMOOD FINANCIAL GROUP | LEGACY PRIVATE WEALTH PARTNERS | LAURUS FINANCIAL GROUP | KEATON AND SAMS WEALTH MANAGEMENT | INSIGHT PRIVATE WEALTH | HUDSON WEALTH MANAGEMENT | HEARTLAND WEALTH MANAGEMENT | HEAD RETIREMENT & WEALTH STRATEGIES | HARRIMAN HALL WEALTH | GRH WEALTH MANAGEMENT | GREAT BASIN ASSET MANAGEMENT | FIG GARDEN WEALTH MANAGEMENT | FAMILY WEALTH SOLUTIONS | ENGLESTAD WEALTH ADVISORS | ELEVATE FAMILY PARTNERS | EAGLE CAPITAL | DAS WEALTH MANAGEMENT GROUP | DANIELSON TATE CAPITAL PARTNERS | CROWNMARK WEALTH ADVISORS | COX, KLUGH AND CO. | CORNERSTONE PRIVATE WEALTH PARTNERS | CONCURRENT RETIREMENT SOLUTIONS | CONCURRENT PRIVATE WEALTH | CONCURRENT INVESTMENT ADVISORS, LLC | CONCURRENT CORPORATE SOLUTIONS | CONCURRENT ADVISORS, LLC | CONCURRENT ADVISORS | COLUMBIA ASSOCIATES WEALTH MANAGEMENT GROUP | COLUMBIA ASSOCIATES | CILIBERTI & ASSOCIATES | CHIEF INVESTMENT OFFICE | CENTER STREET WEALTH MANAGEMENT | CANOPY ASSET MANAGEMENT | BRICK HOUSE WEALTH STRATEGIES | BMR RETIREMENT | AVENUES TO WEALTH FINANCIAL ADVISORS | ARKY MILLER FINANCIAL GROUP | ALLEGIANT WEALTH PARTNERS | ALDEN CAPITAL MANAGEMENT | ADELE FINANCIAL LLC | ADALAN PRIVATE WEALTH
CRD#: 323135 / SEC#: 801-126555
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)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(5/31/2023)
IAR
Wisconsin(9/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CONCURRENT INVESTMENT ADVISORS, LLC
44 MANAGEMENT | WINE COUNTRY WEALTH | WEALTH PARTNERS ALLIANCE | VENN WEALTH MANAGEMENT | VALENTA CAPITAL MANAGEMENT | TIDWELL-PREMOCK-BASILONE PRIVATE WEALTH MANAGEMENT | THE WEALTH STEWARDS | THE HAMILTON GROUP | TAILORMADE WEALTH COUNSEL | T7 LEGACY | STAMPER WEALTH & RETIREMENT GROUP | SPHINX ADVISORY GROUP | SPECTRUM WEALTH PARTNERS | SAUER WEALTH MANAGEMENT | PRICE FINANCIAL MANAGEMENT | OLD TOWN ADVISORS | NEXT RETIREMENT SOLUTIONS | MAVERICK WEALTH ADVISORS | MATT WIGREN & LAURA CHRISTOFFERSON | LUMATURE WEALTH PARTNERS | LINDAMOOD FINANCIAL GROUP | LEGACY PRIVATE WEALTH PARTNERS | LAURUS FINANCIAL GROUP | KEATON AND SAMS WEALTH MANAGEMENT | INSIGHT PRIVATE WEALTH | HUDSON WEALTH MANAGEMENT | HEARTLAND WEALTH MANAGEMENT | HEAD RETIREMENT & WEALTH STRATEGIES | HARRIMAN HALL WEALTH | GRH WEALTH MANAGEMENT | GREAT BASIN ASSET MANAGEMENT | FIG GARDEN WEALTH MANAGEMENT | FAMILY WEALTH SOLUTIONS | ENGLESTAD WEALTH ADVISORS | ELEVATE FAMILY PARTNERS | EAGLE CAPITAL | DAS WEALTH MANAGEMENT GROUP | DANIELSON TATE CAPITAL PARTNERS | CROWNMARK WEALTH ADVISORS | COX, KLUGH AND CO. | CORNERSTONE PRIVATE WEALTH PARTNERS | CONCURRENT RETIREMENT SOLUTIONS | CONCURRENT PRIVATE WEALTH | CONCURRENT INVESTMENT ADVISORS, LLC | CONCURRENT CORPORATE SOLUTIONS | CONCURRENT ADVISORS, LLC | CONCURRENT ADVISORS | COLUMBIA ASSOCIATES WEALTH MANAGEMENT GROUP | COLUMBIA ASSOCIATES | CILIBERTI & ASSOCIATES | CHIEF INVESTMENT OFFICE | CENTER STREET WEALTH MANAGEMENT | CANOPY ASSET MANAGEMENT | BRICK HOUSE WEALTH STRATEGIES | BMR RETIREMENT | AVENUES TO WEALTH FINANCIAL ADVISORS | ARKY MILLER FINANCIAL GROUP | ALLEGIANT WEALTH PARTNERS | ALDEN CAPITAL MANAGEMENT | ADELE FINANCIAL LLC | ADALAN PRIVATE WEALTH
CRD#: 323135 / SEC#: 801-126555
RIA
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Contact information
Main Address
100 S. Ashley Drive Suite 830, Tampa, FL 33602
Mailing Address
Phone number
(813) 709-8800
Established
Firm type
Fiscal year end
# of Employees
188
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,278 |
| AUM (Assets Under Management) | $ 9,901,639,186 |
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.
