• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ROXANE LILLIAN ROSE
ROXANE ROSE, ROXANNE LILLIAN WELZ
CRD#: 2722816
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 123 E MARCY ST
SANTA FE, NM 87501
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1999 - Present (25 years)BSPYGLASS TRADING, L.P. (CRD# 42225)1997 - 1999 (2 years)BSMITH BARNEY INC. (CRD# 7059)1996 - 1997 (1 year)
License(s)

State Registrations

B
Alabama 4/2/2014

B
Nevada 2/21/2013

B
Alaska 3/31/2021

B
New Hampshire 4/6/2015

B
Arizona 11/22/1999

B
New Jersey 10/28/2011

B
Arkansas 2/15/2012

B
New Mexico 4/23/2015

B
California 11/19/1999

IA
New Mexico 2/2/2021

B
Colorado 7/28/2003

B
New York 9/24/2012

B
Connecticut 9/2/2021

B
North Carolina 10/16/2009

B
Delaware 3/28/2019

B
North Dakota 9/2/2021

B
District of Columbia 2/15/2012

B
Ohio 3/9/2012

B
Florida 1/12/2011

B
Oklahoma 9/20/2011

B
Georgia 1/23/2012

B
Oregon 9/2/2021

B
Hawaii 9/2/2021

B
Pennsylvania 4/2/2014

B
Idaho 9/2/2021

B
Puerto Rico 5/2/2001

B
Illinois 7/30/2012

B
Rhode Island 3/6/2015

B
Indiana 9/2/2021

B
South Carolina 3/6/2015

B
Iowa 9/2/2021

B
South Dakota 9/2/2021

B
Kansas 3/5/2013

B
Tennessee 8/12/2008

B
Kentucky 3/4/2015

B
Texas 9/22/1999

B
Louisiana 5/17/2011

IA
Texas 9/22/1999

B
Maine 4/6/2016

B
Utah 8/23/2004

B
Maryland 9/2/2021

B
Vermont 9/2/2021

B
Massachusetts 9/24/2012

B
Virgin Islands 9/2/2021

B
Michigan 12/7/2012

B
Virginia 2/15/2012

B
Minnesota 3/3/2010

B
Washington 6/3/2010

B
Mississippi 3/4/2013

B
West Virginia 5/30/2014

B
Missouri 4/2/2014

B
Wisconsin 9/17/2010

B
Montana 9/2/2021

B
Wyoming 1/20/2015

B
Nebraska 9/2/2021

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
123 E MARCY ST, SANTA FE, NM 87501
Registered with this firm since 9/22/1999

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
123 E MARCY ST, SANTA FE, NM 87501
Registered with this firm since 9/22/1999

Previous Registration(s)
th hidden textth hidden textNameLocation
B
03/25/1997 - 09/02/1999 SPYGLASS TRADING, L.P. (CRD#:42225) DALLAS, TX
B
04/30/1996 - 05/09/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.