John L. 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.
John Leroy Rose was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1968. John had worked at 6 firms and has passed the Series 63, Series 1 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
December 23, 1999 - December 5, 2001
BROOKSTREET SECURITIES CORPORATION
September 25, 1995 - December 31, 1997
DREHER & ASSOCIATES, INC.
June 1, 1993 - September 22, 1993
ACADEMY SECURITIES, INC.
February 15, 1991 - May 10, 1991
ACADEMY SECURITIES, INC.
May 1, 1989 - June 15, 1989
CHARLES SCHWAB & CO., INC.
March 17, 1972 - May 1, 1989
ROSE & COMPANY INVESTMENT BROKERS, INC.
November 1, 1968 - April 10, 1972
DEAN WITTER & CO. INCORPORATED
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 1
Date: 7/20/1967
Registered Representative ExaminationSeries 00
Date: 2/9/1972
General Securities Principal ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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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