Steven A. 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.
Steven Arthur Rose, CFP® was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2005 - September 30, 2022
KALOS MANAGEMENT
July 22, 2005 - September 30, 2022
KALOS CAPITAL, INC.
July 1, 2002 - July 5, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
May 27, 1986 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KALOS MANAGEMENT
CRD#: 133025 / SEC#: 801-65182
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,174 |
| AUM (Assets Under Management) | $ 128,562,434 |
Red Flags
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