Individual Firm
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MICHAEL E. ROSE
MIKE E ROSE, Michael E Rose
CRD#: 4579253
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1100 CANAL ST
THE VILLAGES, FL 32162
THE VILLAGES, FL 32162
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Disclosures
19
Years of Experience
View By:
State Registrations
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Alabama 9/26/2022
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New Hampshire 11/7/2019
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California 11/7/2019
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New Mexico 8/24/2020
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Colorado 3/17/2021
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New York 11/7/2019
B
Connecticut 1/9/2025
B
North Carolina 11/7/2019
B
Florida 10/31/2019
B
Ohio 11/7/2019
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Florida 11/14/2019
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Pennsylvania 11/7/2019
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Georgia 10/31/2019
B
South Carolina 2/4/2020
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Illinois 11/7/2019
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South Dakota 10/1/2021
B
Indiana 11/7/2019
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Tennessee 2/11/2022
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Kansas 4/26/2024
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Texas 11/7/2019
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Louisiana 11/7/2019
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Texas 11/7/2019
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Massachusetts 11/7/2019
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Vermont 9/7/2021
B
Michigan 12/12/2019
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Virginia 11/7/2019
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Missouri 11/7/2019
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Wisconsin 11/7/2019
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Montana 11/7/2019
SRO Registrations
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Registered with this firm since 11/7/2019
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Registered with this firm since 10/31/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/09/2018 - 12/06/2018 | OCALA, FL | |
B | 04/12/2018 - 12/06/2018 | PITTSBURGH, PA | |
B | 01/29/2010 - 05/02/2016 | OCALA, FL | |
B | 01/12/2010 - 02/01/2010 | ORLANDO, FL | |
B | 10/11/2002 - 07/09/2009 | OCALA, FL |
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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.