RR
Robert A. Rose
PIMCO INVESTMENTS
Newport Beach, CA 92660
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CRD#: 6459743
RR
Professional summary
Robert Anthony Rose, CFA, who also goes by Bob Rose, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Newport Beach, California.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2015. Robert has worked at 1 firm and has passed the Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Rose
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert Anthony Rose's 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®
Experience
Current
May 27, 2020 - Present
PIMCO INVESTMENTS LLC
Office #1: 650 Newport Center Dr., Newport Beach, CA 92660BD
CRD#: 154957
Newport Beach, CA
Past
June 2, 2015 - June 11, 2018
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEWPORT BEACH, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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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
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Arizona(1/16/2025)
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California(5/27/2020)
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Delaware(1/16/2025)
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District of Columbia(1/2/2025)
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Illinois(1/3/2023)
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Indiana(2/11/2025)
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Massachusetts(1/2/2025)
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Michigan(1/3/2023)
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New York(1/3/2023)
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North Carolina(1/3/2023)
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Ohio(1/3/2023)
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Oklahoma(1/16/2025)
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Oregon(1/3/2023)
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Texas(1/3/2023)
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Utah(1/3/2023)
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Washington(1/3/2023)
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Wisconsin(7/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
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FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 776-1500
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| MURPHY, JORDAN MITCHELL | CHIEF COMPLIANCE OFFICER | 4221561 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
| WHITTEN, CANDICE STACK | MANAGER, BOARD OF MANAGERS | 4460452 |
Red Flags
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