David Rosenow Email & Phone Number

West Bend, Wisconsin, United States

Madison, Wisconsin Area

Securities offered through Ausdal Financial Partners, Inc, 5187 Utica Ridge Road, Davenport, IA 52807 (563)326-2064. Member: FINRA/SIPC.

Madison, Wisconsin Area

Freelance consulting to Investment Advisor Representatives and Broker Dealers and their Registered Representatives on subjects of:Succession Planning, Broker Dealer Search, Practice Management, Income Planning, Industry Outlook, Product and Services Selection, Retention, Recruiting, AML, DOL - Fiduciary Rule, Tax Law, Financial Planning.

Madison, Wisconsin Area

Oversaw daily operations at a mid-sized broker/dealer (b/d) with a 19-person staff and ~200 R/As. Built strong relationships with R/As in the field, instilled consistent culture internally and externally, and implemented efficiencies and innovations that more than tripled revenue during a 15-year period, all without adding staff.CHANGE MANAGEMENT: I initiated and guided the transition from a primarily commission-based structure to a primarily fee-based structure, convincing my colleagues in management and the R/As in the field of the greater long-term profitability of this model and its potential for building stronger relationships with clients. This helped attract other customer-focused R/As to the b/d and boosted Harbour’s recurring income from 60% to 73% in 5 years (a 21% increase).PROCESS IMPROVEMENT: I identified and corrected inefficiencies in our back office, eliminating repetitious data entry and enabling more staff members to become principals who are able to work with R/As in the field, growing overall team experience and doubling revenues over a 9 year period.COMPLIANCE: I revamped and standardized our audit process through the implementation of new software that allowed any of the company’s 13 principals to conduct audits. As a result, we were able to combine audit trips with relationship building, business advice, and training on products and services. The audit standardization also improved Harbour’s own compliance during FINRA audits, as client responses were easily searchable and cross-referenced.CULTURE CULTIVATION: I constantly strove to instill a culture of honesty, integrity, and respect at Harbour, with a strong emphasis on interpersonal relationships and face-to-face interaction. I set the expectation for frequent contact between principals and R/As, including positive messages and personal calls on birthdays, that helped build rapport and create a family atmosphere, leading to yearly attrition declining to 0.5%.

Madison, Wisconsin Area

Owner and tax preparer for the Agri-Business clientele. Small business owner tax preparation.

Madison, Wisconsin Area

Analysis of shipping domestic and global agriculture products, including hazardous materials. Managed over the road trucking routes. Commercial Drivers License ABCD and N endorsement.

Madison, Wisconsin Area

Independent financial advisor. Manage client relationships and assets with a concentration on small argi-business owners.