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MR

Michael P. Rose

DNA SECURITIES LLC
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 5501364
MR

Professional summary

Michael P. Rose is a registered financial professional currently at DNA 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"?
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) - 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
BD
CRD#: 312799
Chicago, IL
Past

August 14, 2025 - December 22, 2025

REGIMENT SECURITIES, LLC.

BD
CRD#: 311302
CHICAGO, IL
Past

August 12, 2009 - July 15, 2025

METROPOLITAN CAPITAL INVESTMENT BANC, INC.

BD
CRD#: 148820
CHICAGO, IL
Past

March 26, 2008 - August 31, 2009

GAR WOOD SECURITIES, LLC

BD
CRD#: 138033
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
Florida
(7/24/2025)
RR
Illinois
(7/24/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/4/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/16/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DNA SECURITIES LLC
DNA SECURITIES LLC | SARNA FINANCE LLC

CRD#: 312799 / SEC#: , 8-70670

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

Main Address
141 W. Jackson Suite 1710a, Chicago, IL 60604
Mailing Address
115 W. Thomas Street, Arlington Heights, IL 60004
Phone number
(847) 363-1374
Established
Delaware since 01/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STRANDS GROUP USA INC.SOLE MEMBER
CERNY, PATRICIA LCHIEF COMPLIANCE OFFICER4814964
RODRIGUEZ, DAX PANCHIEF COMMERCIAL OFFICER5700954
WETZEL, RONALD LEEFINOP & CEO4671726
WETZEL, RONALD LEEREGISTERED OPTIONS PRINCIPAL4671726

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

DNA SECURITIES LLC

CRD#: 312799Chicago, IL 60604

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