| Advisor Profile |
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| Name: |
James Rosebrough |
| Phone Number: |
(480) 567-9978 |
| Website: |
Visit Website
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Business Description |
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 superior manner.
FIRST MEETING
Take a financial snapshot
Create a financial plan
Act on the financial plan
Set next appointment
FIRST YEAR
3month review
6month review
9month review
Annual Review
SECOND YEAR
Quarterly review, call
6month review
Annual review
Client appreciation Events
YEAR THREE +
Quarterly review; call
Annual review
Client appreciation events. |
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General Information |
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| Insurance License#: |
932964
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| Name of Broker/Dealer: |
LPL Financial
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| States Licensed in: |
AZ, CA, MI, CO, SD
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| States Willing to do Business in: |
AZ, CA, MI, CO, SD
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| Years of Experience in Financial Services: |
11
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| Number of Years with Current Firm: |
6
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| Work Experience: |
Experience:
12 years in the insurance industry
11 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.
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| I work with the following types of clients: |
Investment Clubs, Businesses, Individual Investors, Non-Profit Organizations
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Services |
| Investment Types: |
Insurance, Alternative Investments, Options & Futures, FOREX & Currency, Mutual Funds, Commodities, Annuities, Stocks, Bonds, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Series 65, Series 7, Series 63
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Property, Casualty, Accident, Annuity, Health, Life, HMO
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| Non-Financial Organization Memberships: |
www.arizonabusinessnetworking.com
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Managed Clients: |
75%
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$25,000
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| Compensation Methods: |
Based on Assets, Subscriptions, Commissions, Flat Fee, Hourly
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| Prepared By: |
James Rosebrough |
Frequently Asked Questions |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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Our firm offers a free consultation. |
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What is your approach to financial planning? |
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Creating and Protecting Wealth. |
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What services do you offer? |
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W ills &Trusts
E xpense reduction
A sset management
L iability protection
T ax services
H ome ownership
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Will you be the only person working with me? |
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Yes, I personally handle all investment accounts. |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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This is optional, per clients request. |
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How much risk should I be willing to take? |
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We manage the risk for you. |
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Have you ever been charged with any breaches? |
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What carrier(s) do you represent? |
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Our firm has agreements with over 20 companies. |
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What services do you provide? What are your specialties? |
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I work best with managed accounts where I am directly accountable for the performance. |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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I am good at what I do. My clients enjoy the benefits of having a clear road map of their financial situation. clients understand with my leadership of this road map, we can reach financial independence. |
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What are your management fees? |
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Varies, based on plan assets. |
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Do you have a minimum requirement for number of employees or total investment value? |
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Do you offer any additional services? |
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Yes, workshops, educational events, free client financial plan. |
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What are your qualifications? |
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Several, call for details. |
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| Q. |
How long does the process of setting up an Education Plan usually take? |
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What financial institutions do you represent? |
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How many years of experience do you have? |
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Why should I work with you on setting up an Education Plan? |
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Realistic goal setting for your financial picture. |
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| Q. |
Do you provide a free initial consultation? |
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What are your qualifications? |
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I have done 100's of rollovers for clients in my 11+ years. |
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What is your approach to 401 K plan rollovers? |
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Rollover the money to a plan that fits your personal financial needs and goals. |
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How long does the process of rolling over a 401K plan usually take? |
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Not that long, when you have done a few its easier than you think. |
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| Q. |
What financial institutions do you represent? |
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How many years of experience do you have? |
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What are your fees for this service? |
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Why should I roll over my 401K plan to your firm? |
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You get a service agreement in writing. We are not here to just make commissions, were here to "Build your Financial Future" |
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Do you provide a free initial consultation? |
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