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Timothy L. Rose

Some features on this profile are disabled
CRD#: 2314205
TR

Professional summary

Timothy Lee Rose was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Timothy had worked at 2 firms, which includes INVESTMENT AFFILIATE INC., IFMG SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 1, 1993 - December 2, 1997

INVESTMENT AFFILIATE, INC.

BD
CRD#: 31151
LEWISBURG, WV
Past

January 22, 1993 - June 14, 1993

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 1/19/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IA
INVESTMENT AFFILIATE, INC.
INVESTMENT AFFILIATE, INC. | UNITED FINANCIAL NETWORK, INC.

CRD#: 31151 / SEC#: , 8-45373

BD
Terminated by SEC on 12/26/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
West Virginia since 10/19/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GENADRY, ELIE MICHELSHAREHOLDER/DIRECTOR721443
KAGAN, DREW TERRILLPRESIDENT/CEO/DIR./SHAREHOLDER1468131
VASS, JR ROBERT ESHAREHOLDER/DIRECTOR2871674

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.

Company Information

INVESTMENT AFFILIATE, INC.

CRD#: 31151

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