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DR
DR
Donald Lee Roseen
Lake Street
26 Years of Experience
3 Disclosures
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Retirement Planning
Tax Planning
Estate Planning
Financial Planning & Coaching
High Net Worth
Business Owners
Lake Street
Compensation
Fee-Only (AUM)
Fixed/Hourly
Firm Size
7 advisors
Number of Clients
512 clients
Average Client Portfolio
$1.9M average
Assets Under Management
$961.8M
Fee Structure
Financial Planning:
Included in AUM fee
Investment Management
Planning
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Location
128 N. May Street, Floor 2, Chicago, IL, 60607
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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
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Regulatory
June 2005
Final
Regulatory
July 2004
Final
Employment Separation After Allegations
April 2003
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
Lake Street
September 2018 - Present · 7 yrs 5 mos
Previous Registrations
United Advisors Services, LLC
February 2018 - September 2018 · 7 mos
Rothschild Investment Corporation
Broker
June 2003 - February 2018 · 14 yrs 8 mos
Rothschild Investment Corporation
June 2003 - February 2018 · 14 yrs 8 mos
Banc One Securities Corporation
March 1999 - April 2003 · 4 yrs 1 mo
Banc One Securities Corporation
Broker
February 1999 - April 2003 · 4 yrs 2 mos
State Registrations
1 state
IL
Advisor
Exams
No exam information available for this advisor.