Edward W. 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.
Edward Washington Rose, who also goes by Edward Washington Rose, Rusty Rose III, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1970. Edward had worked at 4 firms and has passed the Series 63, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2004 - June 21, 2006
CARDINAL PUBLIC MARKET GROUP, L.P.
October 5, 2004 - December 4, 2013
CPMG, INC.
June 27, 2002 - May 8, 2006
CARDINAL TRADING
March 27, 1974 - September 25, 1995
CARDINAL TRADING
August 28, 1970 - December 24, 1971
PRIMROSE 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
F04
Date: 2/26/1974
Financial Principal ExaminationSeries 00
Date: 2/26/1974
General Securities Principal ExaminationCurrent firm
No current employment
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.
