Individual Firm
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Michael Rose
MICHAEL ALAN ROSE
CRD#: 3099380
IA
B
EDWARD JONESCRD#: 250 2101 KEN PRATT BLVD
SUITE 105
LONGMONT, CO 80501-6567
SUITE 105
LONGMONT, CO 80501-6567
0
Disclosures
23
Years of Experience
View By:
State Registrations
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Arizona 5/16/2022
B
New Hampshire 10/28/2022
B
Arkansas 1/2/2020
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New Mexico 8/14/2024
B
California 10/25/2024
B
North Carolina 2/8/2023
B
Colorado 1/2/2020
B
Ohio 12/20/2024
IA
Colorado 1/2/2020
B
Oklahoma 1/2/2020
B
Connecticut 12/16/2022
B
Oregon 3/11/2022
B
Florida 7/10/2023
B
Tennessee 7/21/2022
B
Indiana 4/24/2023
B
Texas 1/2/2020
B
Maryland 3/3/2020
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Texas 1/2/2020
B
Missouri 3/25/2024
B
Washington 1/2/2020
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/2/2020
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Registered with this firm since 1/2/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/19/2018 - 12/20/2019 | OKLAHOMA CITY, OK | |
B | 07/19/2018 - 12/20/2019 | OKLAHOMA CITY, OK | |
IA | 06/01/2009 - 04/04/2017 | OKLAHOMA CITY, OK | |
B | 06/01/2009 - 04/04/2017 | OKLAHOMA CITY, OK | |
IA | 07/03/2007 - 06/01/2009 | OKLAHOMA CITY, OK | |
B | 07/02/2007 - 06/01/2009 | OKLAHOMA CITY, OK | |
IA | 07/06/2005 - 01/26/2006 | OKLAHOMA CITY, OK | |
B | 07/06/2005 - 01/26/2006 | CHICAGO, IL | |
IA | 06/24/2004 - 07/06/2005 | OKC, OK | |
B | 06/22/2004 - 07/06/2005 | CHICAGO, IL | |
IA | 07/22/2003 - 06/01/2004 | OKLAHOMA CITY, OK | |
B | 07/18/2003 - 06/01/2004 | SPRINGFIELD, MA | |
IA | 07/20/2000 - 07/16/2003 | OKLAHOMA CITY, OK | |
B | 06/14/2000 - 07/16/2003 | WESTLAKE, TX | |
B | 09/15/1998 - 05/10/2000 | WEEHAWKEN, NJ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.