Timothy M. Rose

T. ROSE & ASSOCIATES

MENDOTA, MN

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CRD#: 1005145

Professional summary

Timothy Mack Rose is a registered financial advisor currently at T. ROSE & ASSOCIATES, INC. located in Mendota, Minnesota.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Timothy has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SECOND DERIVATIVE CAPITAL LLC- HEDGE FUND INVESTING PRIMARILY IN INVESTMENT SECURITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Mack Rose's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 21, 2017 - Present

T. ROSE & ASSOCIATES, INC.

RIA

CRD#: 115253

MENDOTA, MN

Past

March 19, 1998 - March 21, 2000

BEREAN CAPITAL INCORPORATED

CRD#: 24915

CHICAGO, IL

Past

February 8, 1996 - October 28, 1996

AIBC INVESTMENT SERVICES CORPORATION

CRD#: 16397

Past

December 23, 1991 - April 27, 1995

UNITED DANIELS SECURITIES, INC.

CRD#: 15378

NEW YORK, NY

Past

July 18, 1991 - July 26, 1991

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 23, 1990 - June 24, 1991

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

December 23, 1988 - March 23, 1990

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

KANSAS CITY, MO

Past

June 3, 1986 - December 23, 1988

MORISON SECURITIES, INC.

CRD#: 8097

KANSAS CITY, MO

Past

October 26, 1984 - June 10, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

October 26, 1984 - October 25, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(2/21/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/21/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/20/1992

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/18/1992

General Securities Principal Examination

Current Firm

T. ROSE & ASSOCIATES, INC.

SECOND DERIVATIVE CAPITAL LLC | T. ROSE & ASSOCIATES, INC.

CRD#: 115253 / SEC#: 801-66445

RIA

Registered Investment Advisory firm - (5/22/2012 Terminated)

Minnesota

Registered Investment Advisory firm - (6/28/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mendota, MN

Mailing Address

Box Number 50872 1310 Sibley Memorial Hwy, Mendota, MN 55150

Phone number

(612) 314-5629

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 12,386,801

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Timothy M. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Mack Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEREAN CAPITAL INCORPORATED

AIBC INVESTMENT SERVICES CORPORATION

UNITED DANIELS SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

OPPENHEIMER & CO. INC.

B.C. CHRISTOPHER SECURITIES CO.

MORISON SECURITIES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/21/2017

Series 63

Date: 10/23/1984

Series 7

Date: 10/20/1984

Series 53

Date: 5/20/1992

Series 24

Date: 2/18/1992

Current Firm

T. ROSE & ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

T. ROSE & ASSOCIATES, INC.

TRUST BUT VERIFY

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