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Featured Business Financial Advisor in Oldsmar, FL
Oldsmar Financial Advisors
Alan L Rosenberg & Company, Inc.
170A State Street East
Oldsmar, FL 34677
“A Registered Investment Advisory Firm”
Advisor Profile
Alan L Rosenberg
Name:  Alan L Rosenberg
ADV Form II Link:
Available upon request

About Alan L Rosenberg & Company, Inc.

Alan L. Rosenberg & Company is a Registered Investment Adisory Firm. How are we different from advisors who work at a bank, an insurance company or a brokerage firm? And what exactly does it mean to you?

In contrast to "brokers" and "insurance agents", (even ones who call themselves "financial advisors" or "financial planners") independent registered investment advisors are always legally required to act as fiduciaries to their clients. This means that they must put their clients' interests first - not the interests of the company they work for.

Also, independent, fee-based registered investment advisors may be more closely aligned with their clients because they are generally free from the conflicts, constraints, limitations, and pressures so often found in the financial services industry today.

It is in the investors' best interest to know the difference between a "fiduciary" standard and a "suitability" standard. The overwhelming majority of advisors today may offer you products that may be "suitable" according to your profile, needs and goals but they may not be the best choices to help you meet those needs and goals. A fiduciary "MUST" choose only those products and services that are indeed the best possible choices for you.

As you read this today, Wall Street is fighting very hard to keep the "Merrill" exemption; in other words they do not want the reps of their registered investment advisory division to be required to use the fiduciary standard . What type of advisor do you want to work with?
 

General Information

Gender:    Male
CRD#:    1882158
Firm CRD#:    131005
Insurance License#:    A225970
Name of Broker/Dealer:    Investacorp, Inc.
Name of Custodial Firm:    National Financial (NFS)
States Licensed in:    FL, MS, MT, NY, PA, TN, NC
States Willing to do Business in:   
Years of Experience in Financial Services:    26+
Number of Years with Current Firm:    12+
Work Experience:    1988-1995 Independent Advisor. 1996-2003 owned a full service Broker/Dealer: Chief Compliance Officer/Financial Planner. 2003-Present: Own a Registered Investment Advisory Firm. Also was the host of a daily Tampa Bay radio show called "Inevitable Wealth".
I work with the following types of clients:    Investment Clubs, Businesses, Non-Profit Organizations, Estates, Individual Investors
Foreign Languages Serviced:    Spanish
 

Education

Academic Background
 
Premed undergraduate at City College NY
Degree in computer technology NYU
 

Services

Investment Types:    Annuities, Insurance, Structured Investments, Bonds, Stocks, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Socially Responsible Investments (SRI)
 

Qualifications & Memberships

Securities Licenses:    Series 63, Series 24, Series 7
Insurance and Annuity Licenses:    Variable Life, Variable Annuity, Long Term Care, Life, Health, Disability, Annuity
Financial Organization Memberships:    National Association of Insurance and Financial Advisors (NAIFA), Financial Planning Association (FPA)
Non-Financial Organization Memberships:    Past President: Oldsmar/Eastlake Rotary Club
 

Compliance

Registered Investment Advisor:    Yes
Registered Representative:    Yes
I am an acknowledged fiduciary:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation & Fees

Fee Structure:    I am a fee-based financial professional
Minimum Portfolio Size for New Managed Accounts:    $50,000
Compensation Methods:    Flat Fee, Based on Assets, Subscriptions, Hourly, Commissions
Fee % Based on Assets:    1%-1.5%
Hourly Rate:    $125-$150
Flat Fee Rate:    $500 up
Additional Details on Charges:    The degree of complexity of the customized Financial Plan creation determines the total fee. However, the fee is usually waved when we implement the plan.
 
 
 
Prepared By: Alan L Rosenberg

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