Unclaimed Profile

Kurt Richard Rozman

FREEDOM WEALTH ALLIANCE, LLC·BROOKFIELD, Wisconsin

SIE, Series 7, Series 9, Series 10, Series 63, Series 6523 years registeredFREEDOM WEALTH ALLIANCE, LLC

675 NORTH BARKER ROAD, BROOKFIELD, WI 53045CRD# 2323231Firm CRD# 170456

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kurt Richard Rozman · BROOKFIELD, WI

Registration

CRD #2323231 · FREEDOM WEALTH ALLIANCE, LLC · 23 years registered

Brand Profile

Not yet started

Career History

INTRUA FINANCIAL

Nov 2023 – present

FREEDOM WEALTH ALLIANCE

May 2014 – Dec 2023

BROOKFIELD, WI

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Jun 2003 – May 2014

BROOKFIELD, WI

WACHOVIA SECURITIES FINANCIAL NETWORK, LLC

Jun 2003 – Jun 2003

BROOKFIELD, WI

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 63

Series 65

Registration record

First registered · June 2, 2003

Years registered · 23

Disclosure History

2008Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

FREEDOM WEALTH ALLIANCE, LLC

CRD 170456 · SEC 801-79331

AUM

$280M

Regulatory assets under management

Employees

1,613 client accounts

Services offered by FREEDOM WEALTH ALLIANCE, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FREEDOM WEALTH ALLIANCE, LLC →

Introduction

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Frequently Asked Questions

What services does Kurt Richard Rozman offer?

Kurt Richard Rozman specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BROOKFIELD, Wisconsin for a consultation.

What are Kurt Richard Rozman's credentials?

Kurt Richard Rozman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kurt Richard Rozman located?

Kurt Richard Rozman is based in BROOKFIELD, Wisconsin, working with FREEDOM WEALTH ALLIANCE, LLC. Their office serves clients in the BROOKFIELD metropolitan area and surrounding communities.

How does Kurt Richard Rozman charge for services?

Kurt Richard Rozman's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FREEDOM WEALTH ALLIANCE, LLC?

FREEDOM WEALTH ALLIANCE, LLC has approximately 12 employees and manages $280M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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