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Thomas John Rozman

Simplicity Wealth

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About Thomas John Rozman

Thomas Rozman is a financial advisor at Simplicity Wealth, a firm with offices in Summit, New Jersey and Minneapolis, Minnesota. Thomas has been working in the financial industry since 1987. He is a Chartered Financial Analyst and holds Series 7, Series 24, and Series 63 licenses. Thomas specializes in providing financial planning, portfolio management, and educational seminars.

Firm Information

Thomas Rozman is currently registered with Simplicity Wealth. Simplicity Wealth is a Registered Investment Advisor based in SUMMIT, NJ with approximately $3.17 billion in regulatory assets under management. The firm provides financial planning, educational seminars, publication of periodicals, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. The firm's clients include high-net-worth individuals, other investment advisors, banking or thrift institutions, and individuals other than high-net-worth.
Simplicity Wealth

86 SUMMIT AVE

SUMMIT, NJ 07901

$3.17B

Assets Under Management

16

Total Clients

74

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Rozman’s Registration & Firm History

NJ

01/19/2022 - Present

Simplicity Wealth (SUMMIT NJ)

MN

12/16/2014 - 06/23/2016

DST MARKET SERVICES, LLC (Minneapolis MN)

NY

08/20/1987 - 04/17/2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/03/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/12/2015

Series 24 - General Securities Principal Examination

BC

Issued 06/23/2016

SIE - Securities Industry Essentials Examination

BC

Issued 12/16/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Thomas John Rozman.
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