Frank A. 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.
Frank Alexander Rose, who also goes by Frank A Rose, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1998. Frank had worked at 9 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2011 - March 2, 2012
ASCENDIANT CAPITAL MARKETS, LLC
August 12, 2011 - December 15, 2011
VIEWPOINT SECURITIES, LLC
July 30, 2010 - July 29, 2011
GIRARD SECURITIES, INC.
January 27, 2007 - July 15, 2010
PRECISION SECURITIES, LLC
December 20, 2006 - January 29, 2007
GLB TRADING, INC
October 19, 2006 - November 1, 2006
ZEALOUS CAPITAL MARKETS, LLC.
November 26, 2001 - September 5, 2006
CAPSTONE INVESTMENTS
January 6, 2001 - December 8, 2001
SPELMAN & CO., INC.
November 4, 1998 - December 1, 2001
SENTRA SECURITIES CORPORATION
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
Series 55
Date: 12/14/1999
Limited Representative-Equity Trader ExamCurrent Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
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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