Samuel Rosen
Samuel Rosen is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in Pleasant Grove, UT, with 11 years of industry experience. Samuel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B 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 | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
2100 W Pleasant Grove Blvd, Suite 330, Pleasant Grove, UT, 84062
Get directionsHistory
Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Samuel operates under the DBA Happier Wealth for his LPL business and owns rental real estate. He also brokers non-variable insurance, dedicating about 10-20% of his time to this activity, and spends nearly full-time on Rosen LLC for tax/investment purposes. Samuel also spends about a quarter of his time on EmBody Health and Fitness.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
State Registrations3 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
More Advisors
- Robert Dowdle, CFP, ChFCLPL Financial LLC
- William Beck, CFPLPL Financial LLC
- Tyler Vongsawad, CFP, ChFCLPL Financial LLC
- Kohler Black, CFPCharles Schwab & CO., INC.
- Tyler Steinkopf, CFP, ChFCArkadios Wealth Advisors
- Michael Kunzler, CFP, ChFCArkadios Wealth Advisors