Thomas Everett Rose Iii
Professional Summary
Thomas Everett Rose III, who also goes by Thomas Everett Rose, Tom E. Rose, Tom Rose, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Everett Rose, Tom E. Rose, Tom Rose
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES
Contact Information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735Phone Number
(844) 553-7872Established
Texas since 09/01/2014Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | — |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | ADVISOR ENGAGEMENT, EXECUTIVE VICE PRESIDENT | 2625829 |
| XAVIER, ANGELA DIANE | CLIENT EXPERIENCE OFFICER, EXECUTIVE VICE PRESIDENT | 7094095 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
Regulatory Event
14Arbitration
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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.
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State Registrations and Notice Filings
(9/2/2014)
(9/2/2014)
(9/2/2014)
(9/2/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Apr 1974SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Everett Rose III's CRS (Customer Relationship Summary).
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