Nicolas R. 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.
Nicolas Robert Rose was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 2018. Nicolas had worked at 1 firm and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2018 - October 16, 2018
LIGHTHOUSE CAPITAL GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LIGHTHOUSE CAPITAL GROUP, LLC
CRD#: 169135 / SEC#: , 8-69350
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
