Stephen Rosen is a registered investment advisor at Hightower Advisors, LLC, based in Chicago, IL, with 31 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 56,418 clients with $160B in assets under management.
Compensation
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Fee Structure
Hightower Advisors offers investment management services where fees are negotiable and can be calculated as a percentage of your portfolio. The percentage can be a flat rate, tiered based on asset levels, or tiered floating. Fees are typically deducted from your account and can be charged either in advance or after the service is provided, calculated quarterly or monthly. Some advisors may adjust fees based on significant deposits or withdrawals during the billing cycle. The firm may also household accounts for price breaks.
Location
200 W. Madison St., Suite 2500, Chicago, IL, 60606
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
Hightower Securities, LLCBroker
Hightower Advisors, LLC
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
UBS Financial Services INC.
UBS Financial Services INC.Broker
Gruntal & CO., L.L.C.Broker
State Registrations14 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.