Herbert Carl Rosene

Employer firm

Ausdal Financial Partners, Inc. CRD 7995

$3.73B regulatory AUM 665 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• ADVICE ON UMA PLATFORMS

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

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

Current Employers

Employment History

• 07/1993 → Present
  H C Rosene Agency
  Roscoe, IL
• 09/2009 → Present
  Ausdal Financial Partners, Inc.
  Davenport, IA

Other Businesses

1. HEALTH AND LIFE INSURANCE SALES, Roscoe, IL - SALES AND SERVICE OF HEALTH AND LIFE INSURANCE AND FIXED ANNUITIES, INSURANCE BROKER. ESTABLISHED IN 08/93, 60 HOURS PER MONTH OF WHICH 5-10 HOURS ARE DURING TRADING HOURS. NOT AN INVESTMENT RELATED ACTIVITY. COMMISSION BASED INCOME. 2. RENTAL PROPERTY - LANDLORD/PROPERTY MANAGER SINCE 9/1979. APPROXIMATELY 5-10 HOURS A MONTH DEVOTED TO THIS ACTIVITY OF WHICH 1-3 HOURS ARE DURING TRADING HOURS. COLLECT RENTS AND MANAGE LEASES OF PROPERTIES. PERFORM MAINTENANCE OF PROPERTIES, HIRE REPAIRS NOT PREFORMED BY ME. PAY BILLS AND TAXES OF PROPERTIES, IN GENERAL RUN THE OPERATIONS OF RENTAL UNITS. THIS IS NOT AN INVESTMENT RELATED ACTIVITY. INCOME IS FROM RENTS. 3. ART OF MAGIC - MAGICIAN . STARTED IN 1/1967. APPROXIMATELY 5-10 HOURS A MONTH DEVOTED TO THIS ACTIVITY OF WHICH 1-3 HOURS ARE DURING TRADING HOURS. THIS IS NOT AN INVESTMENT RELATED ACTIVITY. FEE BASED INCOME. 4.COLLECTOR OF SILVER AND GOLD IN A VARIETY OF FORMS, A SMALL AMOUNT OVER MANY YEARS. BEGAN IN 1/1974. 2-3 HOURS A MONTH ARE DEVOTED TO THIS ACTIVITY OF WHICH 1 HOUR is DURING TRADING HOURS. INCOME IS FROM GAIN IN HARD ASSET HELD, APPRECIATION. THIS IS NOT AN INVESTMENT RELATED ACTIVITY.

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-07-25
• S63 Uniform Securities Agent State Law Examination
  1992-05-05

Other Names

• H. C. Rosene
• Herb Rosene
• Herbert C Rosene