Jeremy A. 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.
Jeremy Allen Rose was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 2006. Jeremy had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2012 - July 16, 2013
ROSE CAPITAL MANAGEMENT, INC.
May 21, 2009 - July 28, 2009
VOYA FINANCIAL ADVISORS, INC.
February 19, 2009 - July 28, 2009
VOYA FINANCIAL ADVISORS, INC.
March 27, 2006 - May 15, 2007
NORTHERN LIGHTS DISTRIBUTORS, 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
ROSE CAPITAL MANAGEMENT, INC.
CRD#: 160028 / SEC#:
Contact information
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.
