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Detailed Report
ROBERT LEE ROSE
ROBERT LEE ROSE II
CRD#: 2874342
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1500 S DALE MABRY HWY
TAMPA, FL 33629
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2004 (2 years)2 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - Present (16 years)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)1997 - 2001 (4 years)
Disclosure(s)
View By:
8/12/2024
Customer Dispute
Pending
8/22/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/8/2017
B
New Mexico 7/6/2021
B
Arizona 1/25/2017
B
New York 1/10/2020
B
California 1/31/2018
B
North Carolina 2/13/2009
B
Colorado 3/23/2017
B
Ohio 4/9/2013
B
Delaware 2/25/2019
B
Oklahoma 4/4/2023
B
Florida 2/13/2009
B
Oregon 4/11/2023
IA
Florida 2/20/2009
B
Pennsylvania 6/20/2011
B
Georgia 2/19/2009
B
South Carolina 8/11/2017
B
Illinois 5/27/2022
B
Tennessee 4/5/2016
B
Kentucky 3/23/2017
B
Texas 11/17/2017
B
Maryland 3/19/2009
IA
Texas 11/17/2017
B
Massachusetts 10/24/2023
B
Utah 5/20/2021
B
Mississippi 4/30/2024
B
Virginia 3/4/2013
B
Missouri 2/13/2009
B
West Virginia 3/23/2017
B
New Jersey 8/20/2012

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
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
WELLS FARGO ADVISORS (CRD#:19616)
1500 S DALE MABRY HWY, TAMPA, FL 33629
Registered with this firm since 2/20/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1500 S DALE MABRY HWY, TAMPA, FL 33629
Registered with this firm since 2/13/2009
Previous Registration(s)
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IA
 05/12/2004 - 02/17/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) TAMPA, FL
B
 05/07/2004 - 02/17/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) TAMPA, FL
IA
 07/13/2001 - 05/26/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) TAMPA, FL
B
 07/13/2001 - 05/26/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 04/11/1997 - 07/18/2001 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.