Rose A. Moss
Professional summary
Rose Ann Moss, who also goes by Rose Ann Powell, is a registered financial professional currently at INSTITUTIONAL SECURITIES CORPORATION located in Dallas, Texas.
Rose is registered as a RR (Registered Representative) and started their career in finance in 1994. Rose has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rose Ann Moss's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2015 - Present
INSTITUTIONAL SECURITIES CORPORATION
Office #1: 3500 Oak Lawn Ave Suite 400, Dallas, TX 75219April 1, 1997 - February 8, 2016
NETHERLAND SECURITIES, INC.
November 1, 1996 - June 13, 1997
PRIVATE BROKERS CORPORATION
December 6, 1994 - November 5, 1996
HILLTOP SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/27/2023)
(3/20/2019)
(3/20/2019)
(10/4/2022)
(3/20/2019)
(3/20/2019)
(5/3/2021)
(3/20/2019)
(11/3/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291 / SEC#: 801-36967, 8-38158
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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Company Information
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291Dallas, TX 75219TRUST BUT VERIFY
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