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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Elwood Rose is an investment advisor representative. Richard is currently registered with Capital Investment Advisory Services, LLC, in Raleigh, NC. Richard is a Registered Representative and Investment Advisor Representative in NC. Richard has been in the industry since May 25, 1992 and has been registered with Capital Investment Advisory Services, LLC since January 21, 2016. Richard has passed 6 exams and is licensed in 2 states.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
01/21/2016 - Present
Capital Investment Advisory Services, LLC (RALEIGH NC)
NC
07/01/1996 - 09/22/2015
MML INVESTORS SERVICES, LLC (GREENSBORO NC)
NJ
01/07/1992 - 06/10/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
01/07/1992 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 10/01/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/31/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/11/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2001
Series 7 - General Securities Representative Examination
BC
Issued 12/31/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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