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TR

Thomas E. Rose

KESTRA INVESTMENT SERVICES
Amarillo, TX 79105
Some features on this profile are disabled
CRD#: 404099
TR

Professional summary

Thomas Everett Rose III, who also goes by Thomas Everett Rose, Tom E. Rose, Tom Rose, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Amarillo, Texas.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1974. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Everett Rose | Tom E. Rose | Tom Rose

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) - BD

Click below to view Thomas Everett Rose III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 2, 2014 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 301 S. Polk Ste. 400 S., Amarillo, TX 79105
BD
CRD#: 42046
Amarillo, TX
Past

November 15, 2005 - March 10, 2014

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
AMARILLO, TX
Past

November 15, 2005 - March 10, 2014

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
AMARILLO, TX
Past

June 15, 2005 - November 1, 2005

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
AMARILLO, TX
Past

June 15, 2005 - November 1, 2005

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AMARILLO, TX
Past

December 14, 2004 - June 22, 2005

LPL FINANCIAL LLC

RIA
CRD#: 6413
AMARILLO, TX
Past

December 14, 2004 - June 22, 2005

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 22, 2004 - December 15, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

February 10, 1999 - June 21, 2002

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

September 9, 1997 - July 1, 2004

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
AMARILLO, TX
Past

May 15, 1996 - December 11, 1998

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

October 20, 1980 - July 1, 2004

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

April 8, 1974 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/2/2014)
RR
Florida
(9/2/2014)
RR
New York
(9/2/2014)
RR
Texas
(9/2/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/26/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 4/2/1974
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES

CRD#: 42046 / SEC#: , 8-49672

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
KESTRA FINANCIAL, INCSOLE MEMBER
AMORE, JOHN VINCENTPRESIDENT5430932
CHESTER, KRISTEN LAWLESSCHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT6896952
KANT, VINAYCHIEF DIGITAL TECHNOLOGY OFFICER7976827
PEDLOW, MICHAEL ROSSCHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT4871563
POER, JAMES LYNNCHIEF EXECUTIVE OFFICER1983357
SCHOENBECK, MARK PAULEXECUTIVE VICE PRESIDENT2625829
YIN, YINCONTROLLER3219513
ZEGERS, SCOTT MATTHEWCHIEF FINANCIAL OFFICER4831659

Disclosures

Regulatory Event14
Arbitration2

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.

Company Information

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046Amarillo, TX 79105

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