Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Rose is a financial professional with experience in the securities industry. James Rose holds multiple licenses, including Series 4, 6, 7, 24, and 63. James Rose is currently registered with Vanguard Marketing Corp. James Rose has been in the securities industry since February 7, 2017.
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.
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.
1
2
PA
02/08/2017 - Present
Vanguard Marketing Corp. (MALVERN PA)
BC
Issued 02/21/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/2024
Series 4 - Registered Options Principal Examination
BC
Issued 10/25/2021
Series 24 - General Securities Principal Examination
BC
Issued 09/28/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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