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CR

Christopher P. Rosa

AMERICAN INDEPENDENT SECURITIES GROUP
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 5834884
CR

Professional summary

Christopher Paul Rosa, who also goes by Chris Rosa, Christopher Rosa, is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Greenwood Village, Colorado.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Christopher has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chris Rosa | Christopher Rosa

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) SELLS LIFE, HELATH, P/C, AND DISABILITY INSURANCE. COMPENSATED BY COMMISSIONS. 2010 TO CURRENT. 2)CFS Tax Group, LLC: 8400 E Prentice Ave, Suite 820 Greenwood Village, CO 80111. Tax Preparation/ Accounting. Not investment related. Independent Contractor. 20 hrs/week, 2 during securities trading hours. Start 4-2017 3)CKR Properties LLC, 12176 E Amherst Cir, Aurora, CO 80014, not investment related, Own and operate rental real estate property , start 5/12/2025 with 1hr during trade hour and 2/month, Own and operate rental property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Paul Rosa's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Paul Rosa's CRS (Customer Relationship Summary).
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

July 5, 2017 - Present

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

Office #1: 6455 S Yosemite Street Suite 715, Greenwood Village, CO 80111
RIA
BD
CRD#: 135288
Greenwood Village, CO
Current

January 30, 2012 - Present

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

Office #1: 6455 S Yosemite Street Suite 715, Greenwood Village, CO 80111
RIA
BD
CRD#: 135288
Greenwood Village, CO
Past

November 15, 2010 - February 2, 2012

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
GREENWOOD VILLAGE, CO

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".
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288 / SEC#: 801-69138, 8-66905

RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)
Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)
Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)
Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)
Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)
Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)

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
Alaska
(9/24/2025)
RR
California
(8/12/2013)
RR
Colorado
(1/30/2012)
IAR
Colorado
(7/5/2017)
RR
Georgia
(8/4/2022)
RR
Iowa
(1/3/2014)
RR
Kansas
(8/17/2020)
RR
Minnesota
(2/15/2024)
RR
North Carolina
(3/14/2023)
RR
Ohio
(8/10/2017)
RR
Oregon
(3/14/2023)
RR
Vermont
(11/1/2018)
RR
Washington
(8/9/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/27/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288 / SEC#: 801-69138, 8-66905

RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)
Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)
Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)
Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)
Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)
Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV2A - AMENDED 11/6/2025 (11/6/2025)

Direct owners and executive officers

NamePositionCRD#
CARLSON, RYAN SHANEMEMBER, CEO4209072
FAXON, REYHEENA MARIAPRINCIPAL, FINOP4219599
KERBEIN, SHEILA APRINCIPAL, CHIEF COMPLIANCE OFFICER5571772
THOMAS, JOSEPH ALLISON JRMUNICIPAL PRICIPAL,REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ,MEMBER1484206

Regulatory assets under management

Total Number of Accounts2,987
AUM (Assets Under Management)$ 604,888,609

Disclosures

Regulatory Event1

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

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288Greenwood Village, CO 80111

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