Andrew V. 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.
Andrew Vincent Rose, who also goes by Andrew V Rose Jr, Andy Rose Jr, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1974. Andrew had worked at 7 firms and has passed the Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2006 - July 10, 2012
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 24, 2000 - April 11, 2005
MML DISTRIBUTORS, LLC
June 23, 1994 - September 24, 1998
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
August 8, 1990 - June 30, 1992
G. R. PHELPS & CO., INC.
February 14, 1989 - June 23, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 7, 1984 - June 23, 1990
PRUCO SECURITIES, LLC.
August 28, 1979 - September 12, 1983
SENTRY EQUITY SERVICES, INC.
November 12, 1974 - June 23, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 11/6/1974
Registered Representative ExaminationCurrent Firm
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
CRD#: 5496 / SEC#: , 8-16198
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | 100% SHAREHOLDER | |
| DAVIS, SCOTT | DIRECTOR | |
| HAYNES, NEIL LEONARD | DIRECTOR | 6405143 |
| HEALY, DAVID JAMES | PRESIDENT & DIRECTOR | 4103309 |
| KALLAS, COLLEEN LOUISE | SECRETARY | 6910605 |
| MURRAY, THOMAS JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1894655 |
| WORMUTH, LAURA MANDOLINI | FINANCIAL/OPERATIONS PRINCIPAL AND TREASURER | 6063656 |
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.
