Thomas J. Rose
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas James Rose was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2006 - March 30, 2009
AFC ADVISORY CORPORATION
January 19, 2005 - December 31, 2019
OSAIC WEALTH, INC.
January 5, 1998 - October 30, 2006
ROSE AND ASSOCIATES ADVISORY CORPORATION
November 19, 1989 - December 31, 2019
OSAIC WEALTH, INC.
April 25, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 10, 1986 - April 25, 1988
FSC SECURITIES CORPORATION
March 29, 1982 - September 22, 1986
RESOURCE DEVELOPMENT INTERNATIONAL, LTD.
January 5, 1982 - March 30, 1982
SECURITIES MANAGEMENT & RESEARCH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AFC ADVISORY CORPORATION
CRD#: 118669 / SEC#:
Contact information
Red Flags
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