Rose M. Thompson

COMMONS CAPITAL

Needham, MA 02494

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CRD#: 848431

Professional summary

Rose Mary Thompson, who also goes by Rose Mary Feder, Rose Mary Snyder, is a registered financial advisor currently at COMMONS CAPITAL, LLC located in Needham, Massachusetts.

Rose is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Rose has worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rose Mary Feder | Rose Mary Snyder

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) - RIA

Click below to view Rose Mary Thompson'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 14, 2012 - Present

COMMONS CAPITAL, LLC

Office #1: 254 Second Avenue Suite 130, Needham, MA 02494

RIA

CRD#: 165738

Needham, MA

Past

October 15, 2018 - August 5, 2019

LEIGH BALDWIN & CO., LLC

CRD#: 38751

Needham, MA

Past

January 3, 2013 - October 4, 2018

MUTUAL SECURITIES, INC.

CRD#: 13092

NEEDHAM, MA

Past

February 17, 2011 - January 7, 2013

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEWTON, MA

Past

January 31, 2011 - December 14, 2012

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEWTON, MA

Past

September 25, 2007 - February 3, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WELLESLEY HILLS, MA

Past

August 8, 2006 - February 3, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WELLESLEY HILLS, MA

Past

October 23, 2001 - November 16, 2005

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

November 22, 2000 - October 18, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

April 5, 2000 - June 13, 2000

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

September 2, 1998 - July 7, 1999

KERN, SUSLOW SECURITIES, INC.

CRD#: 24755

NEW YORK, NY

Past

April 22, 1991 - October 9, 1996

KERN, SUSLOW SECURITIES, INC.

CRD#: 24755

NEW YORK, NY

Past

July 30, 1990 - December 3, 1990

A. T. BROD & CO. INC.

CRD#: 1319

CLEVELAND, OH

Past

January 26, 1990 - March 27, 1990

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

December 2, 1983 - December 31, 1989

AMPAL SECURITIES CORPORATION

CRD#: 11123

Past

September 26, 1978 - March 13, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 1, 1978 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COMMONS CAPITAL, LLC

COMMONS CAPITAL ADVISORS, LLC | COMMONS CAPITAL, LLC

CRD#: 165738 / SEC#: 801-113208

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (11/12/2018 Terminated)

New York

Registered Investment Advisory firm - (11/12/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(12/14/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/7/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1978

General Securities Representative Examination

Current Firm

COMMONS CAPITAL, LLC

COMMONS CAPITAL ADVISORS, LLC | COMMONS CAPITAL, LLC

CRD#: 165738 / SEC#: 801-113208

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (11/12/2018 Terminated)

New York

Registered Investment Advisory firm - (11/12/2018 Terminated)

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Contact information

Main Address

254 Second Avenue Suite 130, Needham, MA 02494

Mailing Address

Phone number

(617) 431-7200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMMONS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/18/2025)

Regulatory assets under management

Total Number of Accounts	648
AUM (Assets Under Management)	$ 246,061,209

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.

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Advisor Monitoring

Firm Stability Insights

Rose M. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rose Mary Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

MUTUAL SECURITIES, INC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CIBC WORLD MARKETS CORP.

COMMONWEALTH FINANCIAL NETWORK

KERN, SUSLOW SECURITIES, INC.

KERN, SUSLOW SECURITIES, INC.

A. T. BROD & CO. INC.

ROBERT THOMAS SECURITIES, INC

AMPAL SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

COMMONS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2006

Series 63

Date: 12/7/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1978

Current Firm

COMMONS CAPITAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMMONS CAPITAL, LLC

TRUST BUT VERIFY

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