Steven J. Rosenthal

FULCRUM WEALTH ADVISORS

Bellevue, WA 98004

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CRD#: 7173693

Professional summary

Steven Joel Rosenthal, CFP® is a registered financial advisor currently at FULCRUM WEALTH ADVISORS, LLC located in Bellevue, Washington.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Steven has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Joel Rosenthal'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

March 27, 2020 - Present

FULCRUM WEALTH ADVISORS, LLC

Office #1: 10940 Ne 33rd Place, Suite 210, Bellevue, WA 98004

RIA

CRD#: 169277

Bellevue, WA

Past

January 17, 2020 - December 2, 2021

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BELLEVUE, WA

Past

November 26, 2019 - December 2, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BELLEVUE, WA

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".

FULCRUM WEALTH ADVISORS, LLC

CRD#: 169277 / SEC#: 801-130305

RIA

Registered Investment Advisory firm - (5/20/2024 Approved)

Washington

Registered Investment Advisory firm - (6/20/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Washington
(3/27/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/23/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/26/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/16/2019

Securities Industry Essentials Examination

Current Firm

FULCRUM WEALTH ADVISORS, LLC

CRD#: 169277 / SEC#: 801-130305

RIA

Registered Investment Advisory firm - (5/20/2024 Approved)

Washington

Registered Investment Advisory firm - (6/20/2024 Terminated)

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Contact information

Main Address

10940 Ne 33rd Place, Suite 210, Bellevue, WA 98004

Mailing Address

Phone number

(425) 250-6280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FULCRUM WEALTH ADVISORS LLC FORM ADV PART 2A JAN 2026 (1/30/2026)

Regulatory assets under management

Total Number of Accounts	296
AUM (Assets Under Management)	$ 208,000,000

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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Steven J. Rosenthal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Joel Rosenthal's CRS (Customer Relationship Summary).

Certified licenses

Experience

FULCRUM WEALTH ADVISORS, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

FULCRUM WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2019

Series 7TO

Date: 10/26/2022

SIE

Date: 8/16/2019

Current Firm

FULCRUM WEALTH ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FULCRUM WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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