Craig Rosenberg
Craig Rosenberg is a registered investment advisor at J. W. Cole Advisors, INC., based in Traverse City, MI, with 39 years of industry experience. Craig operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 29,614 clients with $7.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
J.W. Cole Advisors' investment management fees are based on a tiered schedule, meaning the percentage you pay decreases as your portfolio grows. The exact fee can be negotiated and may be a flat rate instead of tiered. The maximum fee is generally 3.00% and the minimum is 0.25%. There is also a program fee charged, which covers services provided by JWCA and the custodian of your account. You'll pay these fees quarterly, regardless of how many trades are made. Some advisors may or may not pay transaction costs.
Location
Traverse City, MI
Get directionsHistory
Regulatory History (2)
Financial
October 2017Customer Dispute
September 2012Other Business Activities
Craig owns Peninsula Capital Management LLC, which he uses to manage his office and pay bills. He also volunteers as President of the board of directors for the Grand Traverse Area Spartans, and provides maintenance and property management services for a building owned by his wife's company, Berner Ventures LLC, spending a few hours per week on these activities.
Employment History
Current Registrations
J. W. Cole Advisors, INC.
J.W. Cole Financial, INC.Broker
Previous Registrations
Ifs SecuritiesBroker
Sb Advisory, LLC
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Morgan Stanley
Morgan StanleyBroker
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Linsco/private Ledger CORP.
Linsco/private Ledger CORP.Broker
Schneider Securities, INC.Broker
R a F Financial CorporationBroker
The Stuart-James Company, IncorporatedBroker
State Registrations4 states
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.