Diane M. Rose

JAMES INVESTMENT RESEARCH

Xenia, OH 45385

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CRD#: 2253979

Professional summary

Diane Marie Rose, who also goes by Diane Rose, is a registered financial advisor currently at JAMES INVESTMENT RESEARCH INC located in Xenia, Ohio.

Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Diane has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diane Rose

Other business activities

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.

JAMES INVESTMENT RESEARCH-INVESTMENT RELATED-1349 FAIRGROUND RD, XENIA, OH 45385-REGISTERED INVESTMENT ADVISOR - MARKETING ASSOCIATE-160 HRS. TOTAL PER MONTH 130 HOURS PER MONTH DURING TRADING HOURS-MARKETING, SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Marie Rose's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 18, 2011 - Present

JAMES INVESTMENT RESEARCH INC

Office #1: 1349 Fairground Road, Xenia, OH 45385

RIA

CRD#: 110433

Xenia, OH

Past

October 24, 2011 - December 2, 2022

ALPS DISTRIBUTORS, INC.

CRD#: 16853

XENIA, OH

Past

August 26, 2010 - October 24, 2011

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

July 1, 1998 - March 2, 2009

IFS FUND DISTRIBUTORS, INC.

CRD#: 24075

CINCINNATI, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(11/18/2011)

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

State Security Law Exam

Series 63

Date: 9/30/1998

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/18/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/6/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

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Contact information

Main Address

1349 Fairground Road, Xenia, OH 45385

Mailing Address

P. O. Box 8, Alpha, OH 45301

Phone number

(937) 426-7640

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JAMES INVESTMENT RESEARCH, INC. ADV PART 2 DECEMBER 27, 2023 (12/19/2024)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 1,165,234,618

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.

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Diane M. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Marie Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

UNIFIED FINANCIAL SECURITIES, LLC

IFS FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

JAMES INVESTMENT RESEARCH INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/1998

Series 65

Date: 6/18/1992

SIE

Date: 10/1/2018

Series 6

Date: 4/6/1998

Current Firm

JAMES INVESTMENT RESEARCH INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES INVESTMENT RESEARCH INC

TRUST BUT VERIFY

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