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Jeffrey Rosen

Bahl & Gaynor LLC
24 Years of Experience
Dunwoody, GA
3 DisclosuresBroker
View SEC Summary
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Jeffrey Rosen is a registered investment advisor at Bahl & Gaynor LLC, based in Dunwoody, GA, with 24 years of industry experience. Jeffrey is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management. Their firm serves 889 clients with $21B in assets under management.

Bahl & Gaynor LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25 advisors
Number of Clients
889 clients
Average Client Portfolio
$23.6M average
Assets Under Management
$21.0B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Minimum Annual Fee:$10,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $3.0M0.85%
$3.0M - $5.0M0.65%
$5M+0.50%

Fees and services are negotiable. The minimum annual account fee is $10,000, which may be waived or discounted.

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

Dunwoody, GA

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History

Regulatory History (3)
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.
Regulatory
August 2010
Final
Employment Separation After Allegations
May 2010
Employment Separation After Allegations
June 2009
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Jeffrey is a registered representative with Quasar Distributors, LLC. He is also a partner in Mittrosen LLC, a restaurant investment, but dedicates minimal time to this activity.

Employment History
Current Registrations
Bahl & Gaynor LLC
February 2024 - Present · 2 yrs 8 mos
Quasar Distributors, LLC
November 2023 - Present · 2 yrs 11 mos
Quasar Distributors, LLCBroker
November 2023 - Present · 2 yrs 11 mos
Previous Registrations
Advisors Asset Management, INC.
February 2016 - July 2023 · 7 yrs 5 mos
Advisors Asset Management, INC.Broker
January 2015 - July 2023 · 8 yrs 6 mos
Forethought Distributors, LLCBroker
September 2012 - January 2015 · 2 yrs 4 mos
Innovation Partners LLCBroker
February 2012 - October 2012 · 8 mos
Pacific Select Distributors, INC.Broker
January 2010 - June 2010 · 5 mos
Lincoln Financial Distributors, INC.Broker
September 2006 - June 2009 · 2 yrs 9 mos
Planco Financial Services, LLCBroker
May 2002 - August 2006 · 4 yrs 3 mos
Prudential Investment Management Services LLCBroker
November 2000 - November 2001 · 1 yr
Corporate Securities Group, INC.Broker
September 1993 - September 1993 · 0 mos
Fidelity Brokerage Services, INC.Broker
March 1992 - August 1993 · 1 yr 5 mos
Cadaret, Grant & CO., INC.Broker
November 1991 - December 1991 · 1 mo
State Registrations4 states
ALFLGASC
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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