James Richard Rose
CFP®Professional Summary
James Richard Rose, CFP® is a registered financial advisor currently at DOLLAR & SENSE located in Pittsfield, Massachusetts. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 2 firms and has passed the Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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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Credentials
Years of Experience
41 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
DOLLAR & SENSE | HERRICK-ROSE, INC.
Contact Information
Main Address
222 South Street, Suite 103, Pittsfield, MA 01201Phone Number
(413) 448-9015# of Employees
2Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/23/2005)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1985About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Richard Rose's CRS (Customer Relationship Summary).
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