Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Neal Rose is a financial advisor with over 40 years of experience in the industry. Rose is currently registered with Wells Fargo Clearing Services, LLC and has held previous registrations with UBS Financial Services Inc., Morgan Stanley & Co., Incorporated and Morgan Stanley DW Inc.. Rose is also a registered investment advisor in New York, Texas and Florida. Alan has obtained multiple licenses and certifications including Series 7, Series 63 and Series 65. Rose focuses on portfolio management for individuals and businesses, and offers financial planning, pension consulting and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
02/07/2013 - Present
Wells Fargo Clearing Services, LLC (MELVILLE NY)
NY
10/10/2007 - 02/04/2013
UBS FINANCIAL SERVICES INC. (MELVILLE NY)
NY
04/02/2007 - 10/17/2007
MORGAN STANLEY & CO., INCORPORATED (MELVILLE NY)
NY
07/20/1983 - 04/02/2007
MORGAN STANLEY DW INC. (MELVILLE NY)
IA
Issued 09/13/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/16/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Alan Rose is the right advisor for you? Invested Better is here to help.
