Curtis C. Rose
Professional summary
Curtis Cole Rose, who also goes by Curt Rose, is a registered financial advisor currently at CURTIS C. ROSE & ASSOCIATES located in Aurora, Colorado.
Curtis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Curtis has worked at 9 firms and has passed the Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Cole Rose's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 1999 - Present
CURTIS C. ROSE & ASSOCIATES
January 14, 1992 - March 24, 1993
G. R. PHELPS & CO., INC.
August 21, 1990 - April 17, 1991
MML INVESTORS SERVICES, LLC
May 31, 1989 - May 14, 1990
ROBERT W. BAIRD & CO. INCORPORATED
April 28, 1989 - May 14, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 25, 1987 - March 13, 1989
RAUSCHER PIERCE REFSNES, INC.
August 27, 1984 - October 14, 1987
PRUDENTIAL EQUITY GROUP, LLC
December 27, 1982 - August 14, 1984
CITIGROUP GLOBAL MARKETS INC.
January 29, 1982 - January 7, 1983
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/1/1999)
(5/7/2004)
Exams
Series 8
Date: 12/6/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CURTIS C. ROSE & ASSOCIATES
CRD#: 114816 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 19 |
| AUM (Assets Under Management) | $ 3,778,919 |
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.
