Bruce M. 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.
Bruce Marshall Rose was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1983. Bruce had worked at 9 firms and has passed the Series 63, Series 5, Series 3, Series 7, Series 4 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
July 20, 2006 - January 7, 2014
CARRINGTON INVESTMENT SERVICES, LLC
May 9, 2005 - July 20, 2006
NORTHEAST SECURITIES, LLC
September 1, 1998 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
October 16, 1991 - September 1, 1998
SALOMON BROTHERS INC.
January 17, 1989 - August 5, 1991
UBS FINANCIAL SERVICES INC.
June 17, 1986 - January 26, 1989
MORGAN STANLEY DW INC.
April 29, 1985 - June 23, 1986
LPL FINANCIAL LLC
February 28, 1984 - July 31, 1986
LEHMAN BROTHERS INC.
March 2, 1983 - October 17, 1983
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 7/28/1986
Interest Rate Options ExaminationCurrent Firm
CARRINGTON INVESTMENT SERVICES, LLC
CRD#: 139334 / SEC#: , 8-67208
Contact information
Documents
Direct owners and executive officers
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.
