Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Walter Rose is a financial professional with over 20 years of experience in the financial services industry. Michael currently works at J. Streicher & Co. LLC in New York, NY. Previously, Michael worked at Patrick Capital Markets, LLC, Cole Capital Corporation, Old Mutual Investment Partners, Transamerica Capital, Inc., Capital Brokerage Corporation, Delaware Distributors, L.P., and PNMR Securities, Inc. Michael holds several industry licenses including Series 7, Series 6, Series 24, Series 66, and Series 63. Michael is also a registered principal with FINRA.
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
NY
12/13/2019 - Present
J. Streicher & Co. LLC (NEW YORK NY)
MO
10/01/2015 - 12/31/2017
PATRICK CAPITAL MARKETS, LLC (ST LOUIS MO)
CO
04/30/2010 - 07/19/2013
PATRICK CAPITAL MARKETS, LLC (CASTLE ROCK CO)
AZ
03/26/2007 - 09/03/2008
COLE CAPITAL CORPORATION (PHOENIX AZ)
PA
09/11/2003 - 01/17/2007
OLD MUTUAL INVESTMENT PARTNERS (BERWYN PA)
CO
07/13/2000 - 08/19/2003
TRANSAMERICA CAPITAL, INC. (DENVER CO)
VA
03/25/1999 - 07/03/2000
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
PA
09/16/1996 - 01/24/1997
DELAWARE DISTRIBUTORS, L.P. (PHILADELPHIA PA)
MA
06/01/1993 - 05/13/1994
PNMR SECURITIES, INC. (BOSTON MA)
BOTH
Issued 09/01/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/01/2006
Series 24 - General Securities Principal Examination
BC
Issued 12/22/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 12/31/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2005
Series 7 - General Securities Representative Examination
BC
Issued 05/28/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
New York Stock Exchange
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