Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rose? Claim Your ProfileRose Maria Thompson is a financial professional with over 30 years of experience in the financial services industry. Rose is currently registered with Hilltop Securities Inc. and is located in Dallas, Texas. She is active in both broker-dealer and investment advisor roles. Rose has held previous positions with CITIGROUP GLOBAL MARKETS INC., UBS FINANCIAL SERVICES INC., UBS SECURITIES LLC, and Lehman Brothers Inc. Rose is licensed to offer securities and investment advisory services in all 50 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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
12b-1 fees
1
2
TX
09/10/2013 - Present
Hilltop Securities Inc. (DALLAS TX)
TX
04/20/2009 - 09/19/2013
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
TX
03/17/2006 - 09/05/2007
UBS FINANCIAL SERVICES INC. (DALLAS TX)
NY
01/16/2006 - 03/21/2006
UBS SECURITIES LLC (NEW YORK NY)
NJ
05/07/1993 - 01/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
09/30/1988 - 03/30/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
GA
03/19/1985 - 10/07/1988
THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)
BC
Issued 06/14/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Rose Thompson is the right advisor for you? Invested Better is here to help.
