Jimmy Rosario

PHX FINANCIAL

Fort Lauderdale, FL 33301

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CRD#: 5950561

Professional summary

Jimmy Rosario, who also goes by James Rose, Jim Rose, is a registered financial professional currently at PHX FINANCIAL, INC. located in Fort Lauderdale, Florida.

Jimmy is registered as a RR (Registered Representative) and started their career in finance in 2011. Jimmy has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Rose | Jim 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jimmy Rosario'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

November 24, 2015 - Present

PHX FINANCIAL, INC.

Office #1: 1 East Broward Boulevard, Fort Lauderdale, FL 33301

CRD#: 144403

Fort Lauderdale, FL

Past

October 3, 2013 - May 13, 2015

PHX FINANCIAL, INC.

CRD#: 144403

NEW YORK, NY

Past

March 13, 2013 - October 4, 2013

LEGEND SECURITIES, INC.

CRD#: 44952

GREAT NECK, NY

Past

June 7, 2012 - February 22, 2013

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

October 24, 2011 - June 13, 2012

ROCKWELL SECURITIES LLC

CRD#: 142483

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/22/2016)

Alaska
(1/7/2017)

Arizona
(2/1/2016)

Arkansas
(1/7/2017)

California
(2/1/2016)

Colorado
(2/1/2016)

Connecticut
(1/9/2017)

Delaware
(1/7/2017)

District of Columbia
(1/7/2017)

Florida
(2/1/2016)

Georgia
(2/1/2016)

Hawaii
(1/7/2017)

Idaho
(1/7/2017)

Illinois
(2/1/2016)

Indiana
(1/7/2017)

Iowa
(3/8/2016)

Kansas
(1/7/2017)

Kentucky
(1/7/2017)

Louisiana
(1/7/2017)

Maine
(1/7/2017)

Maryland
(1/7/2017)

Massachusetts
(1/7/2017)

Michigan
(1/22/2016)

Minnesota
(2/1/2016)

Mississippi
(1/7/2017)

Missouri
(2/1/2016)

Nebraska
(2/1/2016)

Nevada
(1/7/2017)

New Hampshire
(1/7/2017)

New Jersey
(3/30/2016)

New Mexico
(1/7/2017)

New York
(11/24/2015)

North Carolina
(1/9/2017)

North Dakota
(1/7/2017)

Ohio
(1/9/2017)

Oklahoma
(1/7/2017)

Oregon
(1/7/2017)

Pennsylvania
(2/1/2016)

Puerto Rico
(1/7/2017)

Rhode Island
(1/7/2017)

South Carolina
(2/1/2016)

South Dakota
(1/7/2017)

Texas
(2/1/2016)

Utah
(2/1/2016)

Vermont
(1/7/2017)

Virgin Islands
(11/17/2016)

Virginia
(2/1/2016)

Washington
(2/1/2016)

West Virginia
(2/1/2016)

Wisconsin
(1/7/2017)

Wyoming
(1/7/2017)

Exams

State Security Law Exam

Series 63

Date: 11/4/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PHX FINANCIAL, INC.

BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street Floor 10, New York, NY 10005

Mailing Address

100 Wall Street Floor 10, New York, NY 10005

Phone number

(212) 776-4187

Established

Florida since 12/27/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LP	PARENT OF BROKER DEALER
CHEN, KEVIN	CEO	4871316
GILMAN, ROBERT CRAIG	FINOP - PFO	1738412
MONTANA, JOSEPH RYAN	ROSFP, MSRB PRINCIPAL	5640919
OTOYA, DANIEL ORLANDO	CHIEF COMPLIANCE OFFICER	2208241

Disclosures

Regulatory Event	4
Arbitration	2

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.

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Jimmy Rosario

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jimmy Rosario's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHX FINANCIAL, INC.

PHX FINANCIAL, INC.

LEGEND SECURITIES, INC.

JOHN THOMAS FINANCIAL

ROCKWELL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/2011

SIE

Date: 10/1/2018

Series 7

Date: 10/21/2011

FINRA

Current Firm

PHX FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHX FINANCIAL, INC.

TRUST BUT VERIFY

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