Individual Firm
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ALAN NEAL ROSE
CRD#: 1157972
IA
B
WELLS FARGO ADVISORSCRD#: 19616 68 S SERVICE RD STE 200
MELVILLE, NY 11747
MELVILLE, NY 11747
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1/16/2017
Customer Dispute
Settled
5/13/2015
Customer Dispute
Settled
5/20/2009
Customer Dispute
Settled
12/18/2003
Customer Dispute
Settled
7/11/2002
Customer Dispute
Settled
9/14/1992
Customer Dispute
Settled
State Registrations
B
Arizona 7/15/2020
B
New Mexico 7/29/2024
B
California 1/25/2013
B
New York 1/25/2013
B
Connecticut 1/25/2013
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New York 9/13/2021
B
Florida 1/25/2013
B
North Carolina 1/25/2013
IA
Florida 5/13/2024
B
Oregon 9/9/2015
B
Georgia 3/24/2016
B
Pennsylvania 1/25/2013
B
Idaho 7/26/2019
B
Rhode Island 1/25/2013
B
Illinois 4/29/2022
B
South Carolina 11/17/2021
B
Kansas 1/25/2013
B
Tennessee 12/2/2016
B
Maine 1/25/2013
B
Texas 1/25/2013
B
Maryland 1/25/2013
IA
Texas 2/7/2013
B
Massachusetts 1/25/2013
B
Vermont 1/21/2015
B
Michigan 1/25/2013
B
Virginia 3/21/2013
B
Missouri 12/22/2020
B
Washington 12/8/2021
B
New Jersey 1/25/2013
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 2/7/2013
B
Registered with this firm since 1/25/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/10/2007 - 02/04/2013 | MELVILLE, NY | |
IA | 04/02/2007 - 10/17/2007 | MELVILLE, NY | |
B | 04/02/2007 - 10/17/2007 | MELVILLE, NY | |
IA | 03/27/2007 - 04/02/2007 | MELVILLE, NY | |
B | 07/20/1983 - 04/02/2007 | MELVILLE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.