EXPERIENCE
-Fund Manager of AZDOT Income Fund 3, LLC
- https://invest.azdotincomefund3llc.com/
- Self Directed Retirement Expert.
-27 years in the insurance industry
-24 years as a financial advisor
-Managed multiple branches for banks
-Managed over 40 million in assets
-2 years experience with Edward Jones investments
-4 years experience with liberty Investment services
-2 years experience with National City Investments
-1 year experience with Credit Union Financial Network
-4 years experience with LPL Financial
-2 Years experience with RIA firm in Scottsdale, AZ
-Owner/Manager of RIA firm in Mesa AZ.
REGISTRATIONS & LICENSES
-Series 63 (Uniform Securities Agent State Law)
-Series 65 (Uniform Investment Adviser)
-Arizona Life and Health Insurance Licensed
-Arizona Property and Casualty Licensed
-Arizona Real-Estate Licensed
-Mortgage Loan Originator license.
-CFS-Certified Fund Specialist designation
-CAS-Certified Annuity Specialist designation
-CES-Certified Estate and Trust Specialist designation
-CTS-Certified Tax Specialist
-CIS-Certified Income Specialist
-MSFS-Masters degree in Financial Services
The mission of our firm is to become the last financial decision any client has to make. We strive to provide consistent repeatable results in all cycles of the financial markets & economy. Our disciplined approach to risk management allows the flexibility to manage all assets in a strategic manner.
FIRST MEETING: Take a financial snapshot
Create a financial plan
Act on the financial plan
Set next appointment
FIRST MEETING, No cost, No obligation.
General Information |
| Firm Start Year: | 2010 | |
| No. of Employees: | 1 | |
| automated call: | Yes |
| Insurance License#: | 932964 |
| Name of Custodial Firm: | Charles Schwab |
| States Licensed in: | AZ |
| Number of Years with Current Firm: | 16 |
| Work Experience: | Experience: 27 years in the insurance industry 24 years as a financial advisor Managed multiple branches for banks Managed over 40 million in assets 2 years experience with Edward Jones Investments 4 years experience with Liberty Investments 2 years experience with National City Investments 1 year experience with Credit Union Financial Network. Last 16 years Managing my own Fiduciary RIA Firm. *Strategic Financial Group* Manager of Private fund: AZDOT Income Fund 3, LLC |
| Work with the following types of clients: | Investment Clubs, Individual Investors, Non-Profit Organizations, Businesses |
| Advisory Services Provided: | Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Businesses, Tax Advice and Services, Financial Planning for Individuals |
Services |
| Investment Types: | Insurance, Annuities, Stocks, Bonds, Options & Futures, FOREX & Currency, Mutual Funds, Mortgages & Real Estate, Alternative Investments, Exchange Traded Funds (ETFs) |
| Can meet clients in the following ways: | Your Home, Your Office, Email, Phone, Our Office, Our Offices, Video Conference |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Life, HMO, Long Term Care, Disability, Annuity, Accident, Casualty, Property, Health |
Firm Information |
| Firm's Number of Clients: | 80 |
| Firm's Number of Planning Clients: | 80 |
| Firm's Number of Managed Clients: | 80 |
| Assets Managed by Advisor: | $34,000,000 |
Compensation and Fees |
| Fee Structure: | Fee-Only |
| Minimum Portfolio Size for New Managed Accounts: | $50,000 |
| Compensation Methods: | Flat Fee, Based on Assets, Hourly |
Education |
| Masters Degree Financial Services - Finance | Institute Of Business and Finance June 1994-September 2013 |
Financial Services |
| Financial Advice & Consulting
Free basic financial plan for anyone interested. Always free, as my way of giving back to the community. I love helping people save interest cost and realize their financial goals sooner than they expected. |
| Financial Planning for Individuals
Client will also gain access to other planning tools like, business planning, tax planning and retirement income planning. |
| Portfolio Management
Balancing Risk and opportunity takes years of experience. Over the years we have engineered some nice technical and fundamental indicators to help us identify opportunities. |
| Retirement Planning
Retirement planning is evolving each and ever year. Its important that we stay on top of the current tax codes and social security benefits available today. Manage Income and tax risk so retirement can be enjoyable. |
| 401K Rollovers
From Job change, to in-service distributions. we can help with your 401k rollovers. Maybe you want some growth, guaranteed income or self directed investments. Our firm can help you strategize and make the right decisions for your Rollover. |
| Wealth Management
Now 48, James Rosebrough has genuinely been interested in the financial markets. Buying his first mutual fund at the age of 18 in the Putnam New Opportunities fund. Our Firm takes a discipline approach to risk management, tax management as well as opportunity cost. |
| Financial Planning for Businesses
Quick books, P & L and balance sheet analysis is available. |
| Insurance Planning
Health, Car, Home, Umbrella, Life, Renters, Travel insurance to name a few. We shop several companies to find you the best deals. |
| Annuities
Fixed, Variable or Index, it can be all confusing. We have a straight forward approach to help you understand it all before you make a long term financial decision. |
| Tax Advice and Services
Available to all clients and customers. Our firm is networked with Common Cents Accounting who provides bookkeeping and tax planning strategies. |
| Education Funding and Planning
Our President/CEO James A Rosebrough Jr continues to educate himself in all facets of the financial planning process. With a Masters degree in financial planning along with several licenses for Investments, Insurance, Real-estate and Mortgages. James strives to be in the know. |
| Investment Advice & Management
ask for our most recent investment policy statement. Our firm also offers Deed of Trust investing in Arizona. ask for details today. 480-276-0805 |
| Risk Management
"Manage Risk, Returns will come" This is the #1 philosophy at our firm. Keeping this at the forefront of each decision we make allows us to keep the account draw downs to a minimum. |
FAQs |
Do you have a customer satisfaction or refund policy?Our Firm Offers A No Cost, NO Obligation First Appointment. |
Why should I choose you as my financial advisor?MSFS-Masters Degree In Financial Services. Multiple years of managing investment accounts. |
What are your qualifications? What is your education background?Creating and Protecting Wealth. "Manage Risk Returns Will Come" |
How do you charge for your services?W ills &Trusts E xpense reduction A sset management L iability protection T ax services H ome ownership |
How are you compensated? How will I pay for your services?About 50 households |
Disclosures |
|
WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. |
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Additional Detailed Disclosures |
Registered Investment Advisor:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
I have a clean record
Criminal Disclosures in Last 5 years:
I have a clean record
| Mon. | 8:30 AM - 5:30 PM |
| Tue. | 8:30 AM - 5:30 PM |
| Wed. | 8:30 AM - 5:30 PM |
| Thu. | 8:30 AM - 5:30 PM |
| Fri. | 8:30 AM - 5:30 PM |
| Apache Junction | Chandler |
| Fountain Hills | Gilbert |
| Higley | Laveen |
| Mesa | Paradise Valley |
| Phoenix | Queen Creek |
| Sacaton | Scottsdale |
| Tempe | |
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