Michael P. Rose

DNA SECURITIES LLC

Chicago, IL 60604

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CRD#: 5501364

Professional summary

Michael P. Rose is a registered financial professional currently at DNA SECURITIES LLC located in Chicago, Illinois and REGIMENT SECURITIES, LLC. located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 4 firms and has passed the Series 63, Series 99TO, Series 62, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Michael P. Rose'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

July 24, 2025 - Present

DNA SECURITIES LLC

Office #1: 141 W. Jackson Suite 1710a, Chicago, IL 60604

CRD#: 312799

Chicago, IL

Current

August 14, 2025 - Present

REGIMENT SECURITIES, LLC.

Office #1: 420 N. Wabash Avenue, Chicago, IL 60611

CRD#: 311302

CHICAGO, IL

Past

August 12, 2009 - July 15, 2025

METROPOLITAN CAPITAL INVESTMENT BANC, INC.

CRD#: 148820

CHICAGO, IL

Past

March 26, 2008 - August 31, 2009

GAR WOOD SECURITIES, LLC

CRD#: 138033

CHICAGO, IL

State Registrations and Notice Filings

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

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

Florida
(7/24/2025)

Illinois
(7/24/2025)

Exams

State Security Law Exam

Series 63

Date: 10/4/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/25/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

420 N. Wabash Avenue, Chicago, IL 60611

Mailing Address

420 N. Wabash Avenue 430, Chicago, IL 60611

Phone number

(773) 480-7561

Established

Delaware since 09/21/2020

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
REGIMENT, LLC.	MEMBER
BURNHAM, STEPHEN TYLER	SHAREHOLDER/PRINCIPAL	4663613
D&A CAPITAL PARTNERS LLC	MEMBER
CAVANAUGH, MICHAEL ALAN	CEO/CCO	4794844
JONES, SHARON DOSTER	FINOP/PFO/POO	3124470

Red Flags

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Michael P. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael P. Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGIMENT SECURITIES, LLC.

METROPOLITAN CAPITAL INVESTMENT BANC, INC.

GAR WOOD SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/2008

Series 99TO

Date: 1/2/2023

Series 62

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/25/2008

Series 24

Date: 3/16/2009

FINRA

Current Firm

REGIMENT SECURITIES, LLC.

Contact information

FINRA licenses (33 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REGIMENT SECURITIES, LLC.

TRUST BUT VERIFY

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