Samuel David Rosen

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 05/2015 → 10/2024
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 08/2015 → 10/2024
  Northwestern Mutual Investment Services Llc
  Provo, UT
• 10/2016 → 10/2024
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 09/2024 → Present
  Coaching By Emily Llc
  Vineyard, UT
• 10/2024 → Present
  Lpl Financial Llc
  Pleasant Grove, UT

Other Businesses

1- 10/2024 / Happier Wealth / DBA for LPL Business (entity for LPL business) / INV RLTD 2- 10/2024 / Real Estate Rental / INV RLTD / START 09/02/2019 3- 10/2024 / Brokering Insurance / Non-Variable Insurance / INV RLTD / 20 HRS MNTH / 2 HRS DURING TRADING / START 05/11/2015 4- 10/2024 / ROSEN LLC / Business Entity For Tax/Investment Purposes Only / NON INV RLTD / 130 HRS MNTH / 6 HRS DURING TRADING / START 03/06/2017 5. 04/01/2025 - EmBody Health and Fitness - Other - Health and Fitness - Not Investment Related - At Reported Business Location(s) - Start date: 12/21/2024 - 40 Hrs/Mth - 0 Hrs During Trading.

Exams

• S63 Uniform Securities Agent State Law Examination
  2015-10-02

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Sam Rosen
• Samuel David Rosen