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Allan Rosen

Cetera Investment Advisers LLC
42 Years of Experience
Scottsdale, AZ
6 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Allan Rosen is a registered investment advisor at Cetera Investment Advisers LLC, based in Scottsdale, AZ, with 42 years of industry experience. Allan is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

7702 East Doubletree Ranch Rd, Suite 300, Scottsdale, AZ, 85285

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2024
Settled
Customer Dispute
March 2011
Closed-No Action
Customer Dispute
February 2008
Settled
Customer Dispute
March 2007
Denied
Customer Dispute
July 1992
Award / Judgment
Employment Separation After Allegations
October 1987
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Allan sells fixed insurance products (life, health, disability, annuities, long-term care) as a representative. He is also the president/owner of Rosen Investment Advisors, dedicating full-time hours to providing financial advice to clients.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLC
December 2007 - Present · 18 yrs 10 mos
Cetera Wealth Services, LLCBroker
December 2007 - Present · 18 yrs 10 mos
Previous Registrations
Cetera Advisor Networks LLC
January 2009 - June 2023 · 14 yrs 5 mos
Associated Securities CORP.Broker
July 2004 - December 2007 · 3 yrs 5 mos
United Planners' Financial Services of America a Limited PartnerBroker
December 1999 - August 2004 · 4 yrs 8 mos
Archon Securities, LLCBroker
May 1999 - March 2005 · 5 yrs 10 mos
Sunamerica Securities, INC.Broker
May 1992 - August 1999 · 7 yrs 3 mos
Anchor National Financial Services, INC.Broker
October 1987 - May 1992 · 4 yrs 7 mos
Boardwalk Capital CorporationBroker
February 1984 - October 1987 · 3 yrs 8 mos
Connecticut Mutual Financial Services, INC.Broker
September 1983 - January 1984 · 4 mos
State Registrations23 states
AZCACOFLHIIDILINKYMDMIMTNHNMNVNYOHORTXUTVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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