ER
Ethan J. Rosenbloom
ALERA INVESTMENT ADVISORS
Deerfield, IL 60015-2567
Some features on this profile are disabled
CRD#: 6204115
ER
Professional summary
Ethan Jeremy Rosenbloom, CFP® is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in Deerfield, Illinois and OSAIC WEALTH, INC. located in Deerfield, Illinois.
Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Ethan has worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) ALERA INVESTMENT ADVISORS, LLC POSITION: Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2017 ADDRESS: 3 Parkway N., Suite 500, Deerfield IL 60015 DESCRIPTION: IAR of RIA 2) DOORDASH DELIVERY DRIVER POSITION: Delivery Driver NATURE: sole proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: 506 Windover Circle, Buffalo Grove IL 60089 DESCRIPTION: deliver food 3) ALERA GROUP POSITION: Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2017 ADDRESS: 3 Parkway N., Suite 500, Deerfield IL 60015 DESCRIPTION: I am a W-2 Employee of Alera Group. 4) UBER EATS POSITION: Delivery Driver NATURE: I will be an independent contractor for Uber Eats. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/26/2025 ADDRESS: 1455 3rd Street, San Francisco CA 94158 DESCRIPTION: Food delivery services 5) FIXED INSURANCE POSITION: Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2017 ADDRESS: 3 Parkway N., Suite 500, Deerfield IL 60015 DESCRIPTION: Fixed insurance
CRS (Client Relationship Summary) - RIA
Click below to view Ethan Jeremy Rosenbloom'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®
CFP®
Start date: 2019
Experience
Current
April 11, 2018 - Present
ALERA INVESTMENT ADVISORS, LLC
Office #1: Three Parkway North Suite 500, Deerfield, IL 60015-2567RIA
CRD#: 287906
Deerfield, IL
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: Three Parkway North Suite 500, Deerfield, IL 60015RIA
BD
CRD#: 23131
Deerfield, IL
Past
November 3, 2017 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Deerfield, IL
Past
October 4, 2017 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Deerfield, 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".
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
Registered Investment Advisory firm - (10/26/2017 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.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
Arizona(8/23/2024)
RR
California(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
IAR
Illinois(4/11/2018)
RR
Illinois(8/23/2024)
RR
Indiana(8/23/2024)
RR
Maryland(8/23/2024)
RR
Michigan(8/23/2024)
RR
Nevada(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New York(8/23/2024)
RR
Texas(8/23/2024)
RR
Wisconsin(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
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Contact information
Main Address
Three Parkway North Suite 500, Deerfield, IL 60015-2567
Mailing Address
Phone number
(847) 457-3000
Established
Firm type
Fiscal year end
# of Employees
88
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
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.
