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MICHELE MARIE ROSE
MICHELE M. ROSE, MICHELE ROSE
CRD#: 1898583
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J.P. MORGAN SECURITIES LLCCRD#: 79 712 MAIN STREET
HOUSTON, TX 77002
HOUSTON, TX 77002
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Disclosures
32
Years of Experience
View By:
State Registrations
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North Carolina 10/7/2015
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Texas 10/6/2015
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Texas 10/6/2015
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 10/6/2015
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Registered with this firm since 10/6/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/29/2011 - 09/22/2015 | HOUSTON, TX | |
B | 03/28/2011 - 09/22/2015 | HOUSTON, TX | |
IA | 07/01/2003 - 03/22/2011 | DAVIDSON, NC | |
B | 07/01/2003 - 03/22/2011 | DAVIDSON, NC | |
IA | 07/08/1997 - 07/01/2003 | SAN DIEGO, CA | |
B | 04/27/1992 - 07/01/2003 | NEW YORK, NY |
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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.
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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.