Rose Stoll
Professional Summary
Rose Stoll is a registered financial advisor currently at DOFT & CO., INC. located in New York, New York. Rose is registered as a RR (Registered Representative) and started their career in finance in 2018. Rose has worked at 1 firm and has passed the SIE and Series 99 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
DOFT & CO., INC.
Contact Information
Main Address
55 East 59th Street 12th Floor, New York, NY 10022Mailing Address
55 East 59th Street 12th Floor, New York, NY 10022Phone Number
(212) 421-5550Established
New York since 08/03/1961Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOFT, ALAN | DIRECTOR | 69360 |
| DOFT, JONATHAN ANDREW | SECRETARY/DIRECTOR | 2320497 |
| DOFT, JONATHAN ANDREW | CHIEF COMPLIANCE OFFICER (CCO) | 2320497 |
| DOFT, JONATHAN ANDREW | PRESIDENT | 2320497 |
| DOFT, JONATHAN ANDREW | OPERATIONS PRINCIPAL | 2320497 |
| DOFT, RACHEL ALISON | DIRECTOR | 2320922 |
| HAMAOUI, ROBERT C | VICE PRESIDENT | 1333905 |
| HAMAOUI, ROBERT C | FINANCIAL PRINCIPAL | 1333905 |
Disclosures
Regulatory Event
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Rose Stoll's CRS (Customer Relationship Summary).
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