AR
Alex D Rosen
12 Years of Experience
Firm Information
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
531 advisors
Number of Clients
26,942 clients
Average Client Portfolio
$395K average
Assets Under Management
$10.6B
Fee Structure
This firm offers financial planning and portfolio management services. The fees for these services are not listed in this section of the brochure. Contact the firm directly for more information.
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingEstate PlanningTax PlanningInsurance Planning
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Advisor Information
Office location
1921 S. Alma School Road, Suite 307, Mesa, AZ, 85210
Get directionsRegulatory History (1)
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.
Customer Dispute
September 2022Settled
Other Business Activities
Alex owns rental property and dedicates minimal time to it. He also works full-time as a financial advisor for both Phocus Retirement Services and PFG Advisors.
Employment History
Current Registrations
United Planners' Financial Services of America a Limited Partner Broker
November 2025 - Present · 2 mos
Pfg Advisors
January 2023 - Present · 3 yrs
Previous Registrations
Osaic Wealth, INC. Broker
June 2024 - November 2025 · 1 yr 5 mos
Securities America, INC.Broker
January 2023 - June 2024 · 1 yr 5 mos
Equitable Advisors, LLC
May 2016 - January 2023 · 6 yrs 8 mos
Equitable Advisors, LLC Broker
May 2016 - January 2023 · 6 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2013 - May 2016 · 3 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
January 2013 - May 2016 · 3 yrs 4 mos
State Registrations4 states
AZCAILTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.