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DENNIS FRANK ROSE
CRD#: 1261573
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 15490 VENTURA BLVD., SUITE 220
SHERMAN OAKS, CA 91403
Registration History
1985199019952000200520102015202020252 FIRMS2005 - 2017 (12 years)2 FIRMS2017 - Present (7 years)BH.D. VEST INVESTMENT SERVICES (CRD# 13686)1998 - 2005 (7 years)BPML SECURITIES COMPANY (CRD# 4082)1991 - 1993 (2 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1990 - 1992 (2 years)BVANGUARD CAPITAL (CRD# 22081)1989 - 1990 (<1 year)BMUTUAL BENEFIT FINANCIAL SERVI... (CRD# 4882)1984 - 1987 (3 years)
License(s)

State Registrations

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Arizona 11/29/2017

IA
Missouri 11/29/2017

B
California 11/29/2017

B
Nevada 11/29/2017

IA
California 11/29/2017

IA
Nevada 11/29/2017

B
Colorado 11/29/2017

B
New Jersey 11/29/2017

B
Delaware 10/9/2019

IA
New Jersey 11/3/2022

B
Florida 8/25/2021

B
Pennsylvania 9/4/2018

B
Georgia 11/29/2017

B
Texas 11/29/2017

B
Hawaii 6/12/2019

IA
Texas 11/29/2017

B
Illinois 11/29/2017

B
Washington 11/29/2017

B
Massachusetts 11/29/2017

IA
Washington 11/29/2017

B
Minnesota 4/5/2019

B
Wyoming 10/9/2019

B
Missouri 11/29/2017

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
15490 VENTURA BLVD., SUITE 220, SHERMAN OAKS, CA 91403
PORT MONMOUTH, NJ
Registered with this firm since 11/29/2017

B
LPL FINANCIAL LLC (CRD#:6413)
15490 VENTURA BLVD., SUITE 220, SHERMAN OAKS, CA 91403
PORT MONMOUTH, NJ
Registered with this firm since 11/29/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/18/2005 - 11/29/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) SHERMAN OAKS, CA
B
08/09/2005 - 11/29/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) SHERMAN OAKS, CA
B
09/21/1998 - 09/01/2005 H.D. VEST INVESTMENT SERVICES (CRD#:13686) DALLAS, TX
B
01/10/1991 - 07/23/1993 PML SECURITIES COMPANY (CRD#:4082) NEWARK, DE
B
12/14/1990 - 12/01/1992 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
12/13/1989 - 05/15/1990 VANGUARD CAPITAL (CRD#:22081) DEL MAR, CA
B
06/19/1984 - 12/22/1987 MUTUAL BENEFIT FINANCIAL SERVICE COMPANY (CRD#:4882)
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B
Broker
IA
Investment Adviser
Disclosures
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.