Thomas H. 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 Hogan Rose, who also goes by Tom Rose, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 3 firms and has passed the 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
June 14, 1989 - July 15, 2021
PENROD FINANCIAL GROUP
January 2, 1987 - June 22, 1989
LPL FINANCIAL LLC
March 20, 1986 - January 15, 1987
FIRST STATE FINANCIAL MANAGEMENT, INC.
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
Current Firm
PENROD FINANCIAL GROUP
CRD#: 22785 / SEC#: , 8-40088
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PENROD, DONALD RAY | REGISTERED PRINCIPAL, TREASURER | 833918 |
| AMSBERRY, RICHARD FRANCIS | FINOP | 2917504 |
| PENROD, AARON MATTHEW | VP/MUNI COMPLIANCE PRINCIPAL | 3194251 |
| PENROD, BECKY LOU | PRESIDENT, DESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER, AML PRINCIPAL | 1088598 |
| PENROD, BECKY LOU | CO-OWNER, SECRETARY | 1088598 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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