Paul E. 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.
Paul Edward Rose, who also goes by Paul Edwards Rose, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1999. Paul had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 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
June 1, 2018 - July 26, 2018
LAUREL WEALTH ADVISORS, INC.
February 27, 2015 - July 5, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 26, 2015 - October 9, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 12, 2001 - March 26, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 17, 1999 - January 17, 2001
A. G. EDWARDS & SONS, INC.
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
LAUREL WEALTH ADVISORS, INC.
CRD#: 157139 / SEC#: 801-72334
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,198 |
| AUM (Assets Under Management) | $ 2,383,239,170 |
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.
