Sage 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.
Sage Ariel Rose, who also goes by Sage Ariel Sizemore, was a registered financial professional .
Sage is a previously registered financial professional and started their career in finance in 2014. Sage had worked at 2 firms and has passed the Series 7TO, SIE and Series 99 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2021 - September 6, 2023
PERSHING LLC
December 18, 2019 - September 6, 2023
PERSHING ADVISOR SOLUTIONS LLC
June 7, 2017 - December 17, 2019
PERSHING LLC
July 27, 2015 - June 8, 2017
PERSHING ADVISOR SOLUTIONS LLC
May 28, 2014 - July 27, 2015
PERSHING 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
What does exam status mean?
Series 7TO
Passed: 10/30/2019
General Securities Representative ExaminationCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| EISENBERG, MATTHEW | CHIEF COMPLIANCE OFFICER | 4305269 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| NICHOLSON-FLORENCE, JONATHAN | BOARD MEMBER, CHIEF RISK OFFICER | 6131790 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| UDESHI, NEHAL | BOARD MEMBER | 5194790 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
