Lawrence S. 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.
Lawrence Stephen Rose, who also goes by Larry Rose, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1982. Lawrence had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2012 - May 24, 2017
GEM FINANCIAL ADVISORS, INC.
April 27, 2012 - July 10, 2017
LPL FINANCIAL LLC
January 1, 2008 - May 1, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 1, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 31, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
March 12, 1997 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 28, 1983 - November 26, 1984
CIBC WORLD MARKETS CORP.
January 25, 1982 - March 20, 1997
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GEM FINANCIAL ADVISORS, INC.
CRD#: 123031 / SEC#: 801-70834
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
