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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Frank Rose is a financial advisor with LPL Financial LLC in Sherman Oaks, CA. Dennis Rose is a Registered Representative and Investment Advisor Representative with a focus on providing financial advice to individuals, corporations, and pension plans. Dennis Rose has been in the financial services industry since 1992 and has a strong background in tax preparation and accounting. He specializes in retirement planning, college savings, and investment management.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
11/29/2017 - Present
LPL Financial LLC (SHERMAN OAKS CA)
CA
08/09/2005 - 11/29/2017
NATIONAL PLANNING CORPORATION (SHERMAN OAKS CA)
TX
09/21/1998 - 09/01/2005
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
DE
01/10/1991 - 07/23/1993
PML SECURITIES COMPANY (NEWARK DE)
AZ
12/14/1990 - 12/01/1992
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
CA
12/13/1989 - 05/15/1990
VANGUARD CAPITAL (DEL MAR CA)
NA
06/19/1984 - 12/22/1987
MUTUAL BENEFIT FINANCIAL SERVICE COMPANY
BOTH
Issued 10/25/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/02/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/06/2007
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/06/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2005
Series 7 - General Securities Representative Examination
BC
Issued 09/18/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/18/1984
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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