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Pauline Rosenstein

Stonex Advisors INC.
52 Years of Experience
Annandale, VA
BrokerSells Insurance
View SEC Summary
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Pauline Rosenstein is a CFP-designated registered investment advisor at Stonex Advisors INC., based in Annandale, VA, with 52 years of industry experience. Pauline is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 9,843 clients with $5.1B in assets under management.

Stonex Advisors INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
233 advisors
Number of Clients
9,843 clients
Average Client Portfolio
$517K average
Assets Under Management
$5.1B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$200
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Fees are negotiated between the client and financial advisor up to a maximum annualized rate of 2.00% for standard assets and 1.50% for annuity allocations. Subject to a minimum annual fee of $200 or 0.10%, whichever is greater ($300 for Unified Managed Accounts). American Funds F2 platform has a separate tiered schedule of 0.80% and 0.55%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Annandale, VA

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Pauline is the Vice President of Lakeside Productions, a photography business, though she spends no time on it. She is also an agent for Mass Mutual Life Insurance Co, but also spends no time on it, and is a member of Rotary International, AAUW, and Annandale United Methodist Church, spending minimal time on each.

Employment History
Current Registrations
Stonex Advisors INC.
January 2015 - Present · 11 yrs 9 mos
Stonex Securities INC.Broker
September 2014 - Present · 12 yrs 1 mo
Previous Registrations
Sterne Agee Investment Advisor Services, INC.
January 2006 - January 2015 · 9 yrs
Wrp Investments, INC.Broker
January 2006 - September 2014 · 8 yrs 8 mos
Raymond James Financial Services
April 1994 - December 2005 · 11 yrs 8 mos
Raymond James Financial Services, INC.Broker
September 1993 - December 2005 · 12 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1992 - August 1993 · 1 yr 1 mo
Derand/pennington/bass, INC.Broker
November 1989 - June 1992 · 2 yrs 7 mos
Rushmore Investment Brokers, INC.Broker
January 1988 - November 1989 · 1 yr 10 mos
Dean Witter Reynolds INC.Broker
February 1978 - February 1988 · 10 yrs
Reynolds Securities, INC.Broker
December 1973 - February 1978 · 4 yrs 2 mos
Loeb Rhoades & COBroker
October 1973 - December 1973 · 2 mos
State Registrations14 states
ALCACTDCDEFLMDMENYORPATXVAWA
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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