Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rose? Claim Your ProfileRose Wayne is a financial professional with over 29 years of experience in the industry. Rose Wayne is a registered representative of Wells Fargo Clearing Services, LLC and has been with the firm since May 2021. Prior to that, Rose Wayne worked at Morgan Stanley, Wells Fargo Clearing Services, LLC, Raymond James & Associates, Inc., Concept Capital Markets, LLC, Sanders Morris Harris Inc., Sutro & Co. Incorporated, First Union Securities, Inc., and Everen Securities, Inc.. Rose Wayne specializes in working with high-net-worth individuals, businesses, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. Rose Wayne has a strong track record of providing investment advice and financial planning services to a diverse clientele.
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.
Investment consulting services to institutional clients
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
CA
05/05/2021 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
03/11/2019 - 05/12/2021
MORGAN STANLEY (PASADENA CA)
CA
12/02/2016 - 03/26/2019
WELLS FARGO CLEARING SERVICES, LLC (WOODLAND HILLS CA)
CA
04/04/2012 - 12/05/2016
RAYMOND JAMES & ASSOCIATES, INC. (BEVERLY HILLS CA)
NY
12/01/2011 - 12/19/2011
CONCEPT CAPITAL MARKETS, LLC (NEW YORK NY)
CA
03/08/2002 - 12/16/2011
SANDERS MORRIS HARRIS INC. (LOS ANGELES CA)
CA
02/09/2001 - 03/07/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
MO
01/20/1995 - 02/14/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NA
11/23/1994 - 11/28/1994
EVEREN SECURITIES, INC.
NA
09/08/1992 - 10/14/1994
PASADENA FUND SERVICES, INC.
IA
Issued 11/01/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/03/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/19/1995
Series 7 - General Securities Representative Examination
BC
Issued 09/04/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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