Thomas M. 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.
Thomas Mcneill Rose JR, who also goes by Tommy Mcneill Rose Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 4 firms and has passed the Series 63, Series 65, Series 7 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
August 2, 2012 - November 27, 2018
ANCHOR INVESTMENT MANAGEMENT
November 17, 2010 - April 3, 2012
STATE FARM VP MANAGEMENT CORP.
September 26, 2006 - April 28, 2008
CARTER, TERRY & COMPANY, INC.
May 29, 1997 - September 1, 2004
WADDELL & REED
November 12, 1996 - September 1, 2004
WADDELL & REED
Primary Firm SEC Registration
ANCHOR INVESTMENT MANAGEMENT
CRD#: 135296 / SEC#: 801-64338
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
ANCHOR INVESTMENT MANAGEMENT
CRD#: 135296 / SEC#: 801-64338
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,043 |
| AUM (Assets Under Management) | $ 1,358,433,102 |
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.
