Kevin W. Rose
Professional summary
Kevin W. Rose, CFP®, who also goes by Kevin Matthew Rose, Kevin Matthew Wheeler, Kevin Wheeler, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2012. Kevin has worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin W. Rose's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015February 27, 2018 - January 3, 2019
TD AMERITRADE, INC.
February 26, 2018 - January 3, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 3, 2019
TD AMERITRADE, INC.
March 7, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
June 17, 2016 - February 26, 2018
SCOTTRADE, INC.
August 7, 2013 - April 5, 2016
AQUAVIEW CAPITAL LLC
January 8, 2013 - April 15, 2013
OAK POINT FINANCIAL GROUP
August 13, 2012 - April 25, 2013
LPL FINANCIAL LLC
March 19, 2012 - April 25, 2013
LPL FINANCIAL 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
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Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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