James S. 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.
James Scott Rose, who also goes by J. Scott Rose, James Scott Rose, Scott Rose, James Rose, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 11 firms and has passed the Series 65, 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
September 23, 2025 - April 13, 2026
ZACKS INVESTMENT MANAGEMENT, INC.
April 12, 2023 - August 4, 2025
VECTOR WEALTH MANAGEMENT
February 1, 2023 - April 26, 2023
FNEX CAPITAL, LLC
October 21, 2021 - March 14, 2022
FISHER INVESTMENTS
February 6, 2018 - October 20, 2021
GOLDMAN SACHS & CO. LLC
January 2, 2015 - January 18, 2017
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
March 7, 2003 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
August 3, 2000 - August 10, 2000
STEPHENS
May 3, 2000 - November 17, 2014
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
July 30, 1996 - April 12, 2000
DWS DISTRIBUTORS, INC.
November 8, 1994 - March 13, 1995
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
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
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
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.
