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TR

Timothy M. Rosen

FINANCIAL COMPASS INVESTMENT SERVICES,
Springfield, TN
Some features on this profile are disabled
CRD#: 5528874
TR

Professional summary

Timothy Michael Rosen, who also goes by Tim Rosen, is a registered financial advisor currently at FINANCIAL COMPASS INVESTMENT SERVICES, INC located in Springfield, Tennessee.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Timothy has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tim 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Michael 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

June 4, 2008 - Present

FINANCIAL COMPASS INVESTMENT SERVICES, INC

RIA
CRD#: 147260
Springfield, TN

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
(6/4/2008)
IAR
Kentucky
(9/24/2013)
IAR
Ohio
(8/24/2016)
IAR
Tennessee
(9/8/2020)
IAR
Texas
(9/20/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/8/2008
Uniform Investment Adviser Law Examination

Current Firm

FC
FINANCIAL COMPASS INVESTMENT SERVICES, INC
FINANCIAL COMPASS INVESTMENT SERVICES, INC

CRD#: 147260 / SEC#:

California
Registered Investment Advisory firm - (6/4/2008 Approved)
Kentucky
Registered Investment Advisory firm - (9/24/2013 Approved)
Ohio
Registered Investment Advisory firm - (8/24/2016 Approved)
Tennessee
Registered Investment Advisory firm - (9/8/2020 Approved)
Texas
Registered Investment Advisory firm - (9/20/2021 Approved)
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Contact information

Main Address
Springfield, TN
Mailing Address
Phone number
(661) 855-9168
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

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

FINANCIAL COMPASS INVESTMENT SERVICES, INC

CRD#: 147260Springfield, TN

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