Charles Albert Rosenbaum

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2006 → Present
  Advanced Corporate Solutions Ltd
  New York, NY
• 04/2007 → 12/2016
  Principal Life Insurance Co
  New York, NY
• 03/2016 → 07/2023
  Principal Securities Inc
  New York, NY
• 01/2020 → 07/2023
  Principal Life Insurance Company
  New York, NY
• 07/2023 → Present
  Commonwealth Financial Network
  Waltham, MA

Previous Registrations

• 2014-03-10 → 2023-08-04
  Principal Securities, Inc.
  New York, NY
  New York, NY
  New York, NY
  New York, NY

Other Businesses

1. Co-Owner of rental property located in Southold, NY, as of 06/06/2023; 0% time spent during business hours; Not conducted at branch location; Investment related. 2. Fixed insurance sales; Located at 450 Lexington Avenue, #621, New York, NY 10163, as of 06/20/2023; 30% time spent during business hours; Conducted at branch location; Investment related. 3. Co-Owner, ACS Advisory and Planning Services, LLC, a private entity established to facilitate advisory business; as of 08/07/2023; 60% of time spent during business hours; Conducted at branch; Investment related. 4. Owner, Advanced Corporate Solutions, Ltd., a private entity established to facilitate insurance business; as of 10/03/2006; 30% of time spent during business hours; Conducted at branch; Investment related. 5. Fixed insurance sales; as of 01/01/2024; 15% of time spent during business hours; Conducted at branch location; Investment related. 6. Co-Owner, Imperity Insurance Services, LLC, DBA Imperity Insurance & Benefits Consulting; a private entity established to facilitate insurance business; as of 0101/2024; 15% time spent during business hours; Conducted at branch; Investment related. 7. Co-Owner, Imperity Advisors, LLC; a private entity established to facilitate advisory business; as of 01/01/2024; 4% time spent during business hours; Conducted at branch; Investment related. 8. Referrals to Imperity Tax; tax preparation services; as of 1/30/2024; Less than 10% of time spent during business hours; Conducted at branch; Not investment related. 9. Co-owner, Small Axe Holdings, LLC; investment holding company; Located in Southold, NY; as of 03/25/2025; 1% of time spent during business hours; Not Conducted at branch location; Investment related. 10. Co-Owner, Peconic Rose Holdings, LLC; a private entity established to facilitate securities, advisory, and insurance business; Located in Brooklyn, NY; as of 03/03/2025; 0% time spent during business hours; Conducted at branch; Investment related. 11. Business Consulting, Brevaton, as of 03/15/2026; 3% of time spent during business hours; conducted at branch; Not investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-03-07
• S63 Uniform Securities Agent State Law Examination
  2003-08-28

Other Names

• Charles Albert Rosenbaum