Charles E. De 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.
Charles Edward De Rose, who also goes by Charles De Rose, Charles Edward Derose, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1972. Charles had worked at 10 firms and has passed the Series 63, Series 2, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2002 - February 16, 2016
CHARLES DEROSE, INC.
October 17, 1990 - December 4, 1990
JOSEPHTHAL & CO., INC.
August 25, 1989 - October 29, 1991
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
August 19, 1988 - August 3, 1989
BRILL SECURITIES, INC.
February 20, 1986 - December 31, 1987
WEATHERLY SECURITIES CORPORATION
June 27, 1985 - February 24, 1986
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
February 22, 1982 - May 31, 1985
KUHNS BROTHERS & LAIDLAW, INC.
January 25, 1980 - February 12, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
September 25, 1978 - February 17, 1980
PRUDENTIAL EQUITY GROUP, LLC
October 26, 1972 - June 4, 1973
GRIFFIN SECURITIES CORPORATION
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
Series 2
Date: 10/31/1991
Non-Member General Securities ExaminationSeries 1
Date: 10/19/1972
Registered Representative ExaminationCurrent Firm
CHARLES DEROSE, INC.
CRD#: 112599 / SEC#: 801-30155
Contact information
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.
