William E. 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.
William Edward Rose, who also goes by William E Rose, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 7 firms and has passed the Series 63, 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
April 3, 2008 - September 18, 2008
HBK PRIVATE EQUITY GROUP LLC
September 5, 2007 - September 18, 2008
HBK SERVICES LLC
October 9, 2002 - June 6, 2012
HBK GLOBAL SECURITIES L.P.
June 27, 2001 - December 14, 2012
HBK CAPITAL MANAGEMENT
January 6, 1994 - April 20, 2000
HBK FINANCE L.P.
September 27, 1991 - January 6, 1994
HB KORENVAES INVESTMENTS, L.P.
November 21, 1989 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
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.
