Nathaniel John Rose
Professional Summary
Nathaniel John Rose, who also goes by Nate John Rose, Nathan John Rose, is a registered financial advisor currently at HASI SECURITIES LLC located in Annapolis, Maryland. Nathaniel is registered as a RR (Registered Representative) and started their career in finance in 2011. Nathaniel has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nate John Rose, Nathan John Rose
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
HANNON ARMSTRONG SECURITIES, LLC | HASI SECURITIES, LLC | HASI SECURITIES LLC
Contact Information
Main Address
One Park Place Suite 200, Annapolis, MD 21401Mailing Address
One Park Place Suite 200, Annapolis, MD 21401Phone Number
(410) 571-6167Established
Maryland since 07/22/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/30/2011)
(4/29/2011)
(5/30/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Apr 2011About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nathaniel John Rose's CRS (Customer Relationship Summary).
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