Ruben Rozental has been an investment adviser representative at Philip James Wealth Management since March 2020, and is not listed among the firm’s executive officers or direct owners.
Philip James Wealth Management, LLC is an Alpharetta, GA firm with $931M under management, 497 clients and 7 advisers across 7 offices, as of its May 2026 filing.
Ruben Rozental’s longest registration was 17 years at Merrill Lynch Pierce Fenner & Smith Inc. (1985–2002). Before joining Philip James Wealth Management in 2020, Ruben Rozental was registered through Black Pearl Financial Services LLC and Rozental Asset Management (Ram), LLC.
- CWM, LLCAlso current– present · under a yearAdviser representative · Firm CRD 155344
- Pgi Wealth ManagementCurrent– present · 6 yearsCoral Gables, FL · Adviser representative · Firm CRD 297517
- Black Pearl Financial Services LLC– · 9 yearsCoral Gables, FL · Adviser representative · Firm CRD 156700
- Rozental Asset Management (Ram), LLC– · 4 yearsFort Lauderdale, FL · Adviser representative · Firm CRD 132072
- Merrill Lynch Pierce Fenner & Smith Inc.– · 17 yearsCoral Gables, FL · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Ruben Rozental is registered as an investment adviser representative in Florida, since March 2020.
- FloridaSince 11 March 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 10 January 2010 |
| Series 65 | Uniform Investment Adviser Law Examination | 3 October 1994 |
| Series 7 | General Securities Representative Examination | 19 January 1985 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Ruben Victor Rozental
- CRD
- 1331297
- Firm
- Philip James Wealth Management · CRD 297517
- Office
- 350 SEVILLA AVENUE, SUITE 100, Coral Gables, FL 33155
- Registration
- Investment adviser registration
- In the industry since
- October 1988
- Disciplinary history
- Not yet shown here · SEC record
Where does Ruben Rozental work?
Ruben Rozental is an investment adviser representative registered through Philip James Wealth Management, LLC since March 2020, and is not listed among the firm’s executive officers or direct owners.
Is Ruben Rozental a financial advisor?
Yes. Ruben Rozental has a current investment-adviser registration in Florida, through Philip James Wealth Management since March 2020.
How many years of experience does Ruben Rozental have?
Ruben Rozental has 37 years in the financial industry, since October 1988, across 5 adviser firms.
What exams has Ruben Rozental passed?
Ruben Rozental has passed 3 licensing exams: the Series 7, Series 65 and Series 63. The earliest, the Series 7, was passed in January 1985.
Where did Ruben Rozental work before Philip James Wealth Management?
Before Philip James Wealth Management, Ruben Rozental was registered through Rozental Asset Management (Ram), LLC, July 2004 to June 2009; Merrill Lynch Pierce Fenner & Smith Inc., January 1985 to August 2002.
Where is Ruben Rozental based?
Ruben Rozental’s registered office is in Coral Gables, FL.
Is Ruben Rozental registered with FINRA?
No. Ruben Rozental has no current broker registration.
How can I verify Ruben Rozental’s record?
Search CRD 1331297 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ruben Rozental’s full registration record.