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AR

Andrew Rose

SATURNA BROKERAGE SERVICES,
BELLINGHAM, WA 98225-4730
Some features on this profile are disabled
CRD#: 7591715
AR

Professional summary

Andrew Rose is a registered financial professional currently at SATURNA BROKERAGE SERVICES, INC located in Bellingham, Washington.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2022. Andrew has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Rose's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 6, 2022 - Present

SATURNA BROKERAGE SERVICES, INC

Office #1: 1300 N. State Street, Bellingham, WA 98225-4730
BD
CRD#: 18437
BELLINGHAM, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 12/6/2022
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 12/5/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SB
SATURNA BROKERAGE SERVICES, INC
INVESTORS NATIONAL CORPORATION | SATURNA BROKERAGE SERVICES, INC | INVESTORS NORTHWEST, INC.

CRD#: 18437 / SEC#: , 8-36558

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1300 N. State Street, Bellingham, WA 98225-4730
Mailing Address
1300 N. State Street, Bellingham, WA 98225-4730
Phone number
(360) 734-1266
Established
Washington since 07/21/1986
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SATURNA CAPITAL CORPORATION100% OWNER
CARTEN, JANE KAISERDIRECTOR2929087
CARTEN, JANE KAISERCEO AND PRESIDENT2929087
FANKHAUSER, CHRISTOPHER REEDCOO2857015
FANKHAUSER, CHRISTOPHER REEDDIRECTOR2857015
HANNA, KALEN MARTINCFO5710886
HANNA, KALEN MARTINTREASURER5710886
HANNA, KALEN MARTINDIRECTOR5710886
STEWART, JACOB ANDREWCCO AND AML OFFICER5456089

Disclosures

Regulatory Event1

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.

Company Information

SATURNA BROKERAGE SERVICES, INC

CRD#: 18437Bellingham, WA 98225-4730

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