Rose L. Stanley
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.
Rose Louise Stanley, who also goes by Rose Stanley Garrity, Rose Garrity, Rose L Stanley, was a registered financial professional .
Rose is a previously registered financial professional and started their career in finance in 2000. Rose had worked at 6 firms and has passed the Series 66, SIE 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
October 14, 2016 - November 1, 2018
KESTRA INVESTMENT SERVICES, LLC
October 3, 2016 - November 1, 2018
KESTRA ADVISORY SERVICES, LLC
November 12, 2010 - December 31, 2016
CAREY, THOMAS, HOOVER & BREAULT ADVISORS
May 24, 2002 - December 31, 2010
CAREY, THOMAS, HOOVER, & BREAULT, INC.
April 3, 2002 - October 17, 2016
CAREY, THOMAS, HOOVER, & BREAULT, INC.
September 18, 2000 - April 3, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
August 15, 2000 - April 3, 2002
IDS LIFE INSURANCE COMPANY
August 15, 2000 - April 3, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| 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 | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
