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GUILLERMO ANTONIO ROSES
GUILLERMO ROSES
CRD#: 1769480
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 3101 W. March Lane
Suite A
Stockton, CA 95219-2303
Registration History
199019952000200520102015202020252 FIRMS2012 - 2023 (11 years)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BMETLIFE SECURITIES INC. (CRD# 14251)2007 - 2012 (4 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1991 - 2007 (16 years)BMONARCH SECURITIES, INC. (CRD# 2809)1990 - 1991 (1 year)IAMML INVESTORS SERVICES, INC. (CRD# 10409)2007 - 2007 (<1 year)
License(s)

State Registrations

B
Alabama 6/19/2024

B
Montana 6/19/2024

B
Alaska 6/19/2024

B
Nevada 6/19/2024

B
Arizona 9/19/2024

B
New York 6/19/2024

B
California 6/10/2024

B
Ohio 6/20/2024

IA
California 6/11/2024

B
Oklahoma 6/19/2024

B
Colorado 6/19/2024

B
Oregon 9/19/2024

B
District of Columbia 6/19/2024

B
Texas 6/19/2024

B
Illinois 6/19/2024

IA
Texas 6/19/2024

B
Kentucky 9/19/2024

B
Vermont 6/19/2024

B
Michigan 6/19/2024

B
Washington 6/19/2024

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
3101 W. March Lane Suite A, Stockton, CA 95219-2303
Registered with this firm since 6/11/2024

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
3101 W. March Lane Suite A, Stockton, CA 95219-2303
Registered with this firm since 6/10/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/05/2023 - 05/14/2024 MORGAN STANLEY (CRD#:149777) ROSEVILLE, CA
B
03/20/2023 - 05/14/2024 MORGAN STANLEY (CRD#:149777) ROSEVILLE, CA
IA
02/23/2012 - 09/05/2023 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ROSEVILLE, CA
B
01/04/2012 - 09/05/2023 E*TRADE SECURITIES LLC (CRD#:29106) ROSEVILLE, CA
B
12/05/2007 - 01/18/2012 METLIFE SECURITIES INC. (CRD#:14251) SACRAMENTO, CA
IA
08/22/2007 - 11/29/2007 MML INVESTORS SERVICES, INC. (CRD#:10409) SACRAMENTO, CA
B
10/30/1991 - 11/29/2007 MML INVESTORS SERVICES, INC. (CRD#:10409) SACRAMENTO, CA
B
08/03/1990 - 11/01/1991 MONARCH SECURITIES, INC. (CRD#:2809)
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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.