John Rossi
John Rossi is a registered investment advisor at Prospera Financial Services, INC., based in Houston, TX, with 19 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.15% |
Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.
Fee Estimator
Location
Houston, TX
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
October 2021Other Business Activities
John is the treasurer for a PAC formed to stop a construction project, spending minimal time on it. He also volunteers as treasurer for his son's high school dads club.
Employment History
Current Registrations
Prospera Financial Services, INC.
Prospera Financial Services, INC.Broker
Previous Registrations
Prospera Financial Services, INC.
UBS Financial Services INC.Broker
UBS Financial Services INC.
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
State Registrations9 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.
Exams
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