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LR

Linda P. Rose

Some features on this profile are disabled
CRD#: 2625366
LR

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.

Linda Patricia Rose was a registered financial professional .

Linda is a previously registered financial professional and started their career in finance in 1997. Linda had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

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

November 24, 2008 - December 31, 2009

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
MARIETTA, GA
Past

January 9, 2006 - December 31, 2006

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
MARIETTA, GA
Past

May 13, 2003 - December 2, 2016

LINDNER CAPITAL ADVISORS, INC.

RIA
CRD#: 108584
MARIETTA, GA
Past

September 25, 1997 - February 23, 2005

LINDNER CAPITAL MANAGEMENT, INC.

BD
CRD#: 42096
MARIETTA, GA

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
IAR
Series 65
Date: 6/3/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/1997
General Securities Principal Examination

Current Firm

RH
RESOURCE HORIZONS GROUP LLC
BENEFIT PLANNING ADVISORS, INC. | WEALTH ADVISORY SERVICES | SEQUOYAH PLANNING CORPORATION | RESOURCE HORIZONS GROUP, L.L.C. | RESOURCE HORIZONS GROUP LLC | GM FINANCIAL PLANNING INC. | DM FINANCIAL PLANNING | BENEFIT PLANNING OF CALIFORNIA | BENEFIT PLANNING INC.

CRD#: 104368 / SEC#: , 8-52830

BD
Terminated by SEC on 01/23/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RESOURCE HORIZONS HOLDING COMPANYSHAREHOLDER
FANNON, EILEEN MARIEFINOP, CFO4534618
MILLER, DAVID KEITHCOMPLIANCE OFFICER728491
MILLER, DAVID KEITHCEO/MUNICPAL SECURITIES PRINCIPAL728491
MILLER, KELLY STOLTEPRESIDENT/CROP/SROP1336841
TEDBALL, LAURA ANNECHIEF COMPLIANCE OFFICER4815741

Disclosures

Regulatory Event5
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

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