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WR

Woody R. Rose

Some features on this profile are disabled
CRD#: 500131
WR

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.

Woody Ray Rose was a registered financial professional .

Woody is a previously registered financial professional and started their career in finance in 1976. Woody had worked at 9 firms and has passed the Series 63, Series 53, Series 24 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 1999 - June 4, 2007

POLAR INVESTMENT COUNSEL, INC.

BD
CRD#: 42847
MAUMELLE, AR
Past

April 6, 1998 - September 1, 1999

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA
Past

April 11, 1992 - February 5, 1998

MASTERS FINANCIAL GROUP, INC.

BD
CRD#: 25747
LITTLE ROCK, AR
Past

October 3, 1988 - September 12, 1990

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

BD
CRD#: 16493
Past

June 20, 1984 - October 3, 1988

UMIC, INC.

BD
CRD#: 5974
Past

March 18, 1983 - December 27, 1983

PARK, RYAN OF TENNESSEE, INC.

BD
CRD#: 3064
Past

October 20, 1982 - May 11, 1984

PARK, RYAN, INC.

BD
CRD#: 7154
Past

March 4, 1982 - October 20, 1982

POWELL & ASSOCIATES, INC. INC.

BD
CRD#: 3064
Past

May 7, 1979 - October 30, 1981

PARHAM & COMPANY, INC.

BD
CRD#: 7029
Past

July 7, 1978 - June 22, 1979

POWELL & ASSOCIATES, INC. INC.

BD
CRD#: 3064
Past

June 18, 1976 - July 19, 1978

BRITTENUM & ASSOCIATES, INC.

BD
CRD#: 7179

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/1982
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/18/1987
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/27/1983
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 9/20/1977
Registered Principal Examination

Current Firm

PI
POLAR INVESTMENT COUNSEL, INC.
POLAR INVESTMENT COUNSEL, INC.

CRD#: 42847 / SEC#: 801-64516, 8-50039

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

Main Address
19547 210th Av Ne, Thief River Falls, MN 56701
Mailing Address
19547 210th Ave Ne, Thief River Falls, MN 56701
Phone number
(218) 681-7344
Established
Wisconsin since 05/22/1995
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (24 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

PICI ADV PART 2 BROCHURE (3/24/2014)
PICI ADV PART 2 BROCHURE (3/24/2014)

Direct owners and executive officers

NamePositionCRD#
GLACIER GROUPS INCSHAREHOLDER
ABBOTT, SHERRY LYNNSR VICE PRESIDENT, GP, CHIEF COMPLIANCE OFFICER, CFO4514120
JORDAN, MICHAEL CHARLESPRESIDENT, GP, FINOP, OPTIONS PRINCIPAL, MUNICIPAL PRINCIPAL262088

Disclosures

Regulatory Event2

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

POLAR INVESTMENT COUNSEL, INC.

CRD#: 42847

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