Joseph P. Mara
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.
Joseph Paul Mara was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 10 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2014 - April 15, 2015
ROSE CAPITAL ADVISORS, LLC
August 20, 2013 - March 21, 2014
FURTHER LANE SECURITIES, L.P.
January 23, 2013 - February 5, 2015
TANDRAGEE GLOBAL ADVISORS, LLC
January 5, 2012 - January 15, 2013
PURSHE KAPLAN STERLING INVESTMENTS
May 21, 2009 - December 31, 2009
FORESIDE FUNDS DISTRIBUTORS LLC
April 18, 2007 - March 16, 2009
QUASAR DISTRIBUTORS, LLC
September 25, 2001 - June 19, 2006
CITIGROUP GLOBAL MARKETS INC.
March 7, 1994 - June 19, 2006
CITIGROUP GLOBAL MARKETS INC.
May 3, 1991 - August 18, 1993
CIBC WORLD MARKETS CORP.
July 11, 1985 - May 13, 1991
LEHMAN BROTHERS INC.
June 23, 1981 - September 3, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ROSE CAPITAL ADVISORS, LLC
CRD#: 173054 / SEC#: 801-80385
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 15
Date: 11/21/1987
Foreign Currency Options ExaminationSeries 8
Date: 10/25/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROSE CAPITAL ADVISORS, LLC
CRD#: 173054 / SEC#: 801-80385
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 911 |
| AUM (Assets Under Management) | $ 663,626,570 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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