Allan Eugene Rosen

Current Employers

Employment History

• 05/1986 → Present
  Rosen And Assoc, Ltd
  Phoenix, AZ
• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1) NAME OF OTHER BUSINESS: INSURANCE,| INVESTMENT RELATED: NO,| ADDRESS: 4646 E. VAN BUREN ST. SUITE 190, PHOENIX, AZ. 85008.| NATURE OF BUSINESS: SALE OF FIXED INSURANCE (LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE),| POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE,| START DATE: 02/24/2012,| APX NUMBER OF HOURS PER MONTH: N/A,| APX NUMBER OF HOURS DURING TRADING HOURS: N/A,| BRIEF DESCRIPTION OF DUTIES: SALE OF VARIOUS INSURANCE COMPANIES AS A REPRESENTATIVE;| 2) NAME OF OTHER BUSINESS: ROSEN INVESTMENT ADVISORS, LTD.,| INVESTMENT RELATED: YES,| ADDRESS: 4646 E. VAN BUREN ST. SUITE 190, PHOENIX, AZ. 85008.| NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER,| START DATE: 05/1982,| APX NUMBER OF HOURS PER WEEK: 40 HOURS,| APX NUMBER OF HOURS DURING TRADING HOURS: N/A,| BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL ADVICE TO CLIENTS..;| 3) NAME OF OTHER BUSINESS: KAUKALOA ACRES PRIVATE WATER COMPANY ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: NON-PROFIT ; START DATE: 10/2019 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: APPROVE BUDGET, REPAIRS & EXPENDITURES, HOLD MEETINGS AND CONDUCT GENERAL BUSINESS ; 4) NAME OF OTHER BUSINESS: AVANTRIA CONSULTANTS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CONSULTING; START DATE: 05/2015; POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENTITY TO BE USED FOR CONSULTING UPON RETIREMENT;

Exams

• S66 Uniform Combined State Law Examination
  2008-12-18
• S63 Uniform Securities Agent State Law Examination
  1983-08-29