Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Rose is a financial advisor with over 48 years of experience in the industry. He is currently registered with LPL Financial LLC and has been in the business since 1973. Richard has a wide range of experience in providing financial advice and services to individuals, businesses, and institutions. He is also registered as an Investment Advisor Representative. Richard has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice. He holds several industry certifications, including the Series 7TO, Series 99TO, and Series 65. He is also a registered principal. Richard is committed to providing his clients with the highest level of service and is dedicated to helping them achieve their financial goals.
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.
1
2
PA
08/17/2023 - Present
LPL Financial LLC (FINLEYVILLE PA)
PA
08/30/2006 - 08/04/2023
TRIAD ADVISORS LLC (FINLEYVILLE PA)
PA
06/05/2001 - 09/06/2006
TOWER SQUARE SECURITIES, INC. (FINLEYVILLE PA)
GA
11/22/1974 - 03/17/2000
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
NA
08/20/1973 - 11/07/1974
WADDELL & REED, INC.
IA
Issued 11/27/2006
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/16/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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