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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Rose is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Samuel is a registered investment advisor with FINRA and holds the Series 66 and Series 65 licenses. Samuel Rose is also a registered representative with FINRA and holds the Series 7 and SIE licenses. Samuel has over 9 years of experience in the financial services industry. Samuel's current firm Merrill Lynch is a large firm managing over $1 trillion in assets and provides advisory services including financial planning, portfolio management, and pension consulting. Samuel has previous experience with GWFS EQUITIES, INC., TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, RAYMOND JAMES FINANCIAL SERVICES, INC., PROEQUITIES, INC., and EDWARD JONES.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
AK
06/29/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ANCHORAGE AK)
AK
01/22/2019 - 04/27/2022
GWFS EQUITIES, INC. (ANCHORAGE AK)
CO
12/05/2013 - 09/21/2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)
TN
03/04/2013 - 05/22/2013
RAYMOND JAMES FINANCIAL SERVICES, INC. (COOKEVILLE TN)
TN
06/22/2011 - 04/30/2012
PROEQUITIES, INC. (BRENTWOOD TN)
TN
10/05/2010 - 01/26/2011
EDWARD JONES (HERMITAGE TN)
IA
Issued 02/01/2019
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 10/15/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/21/2017
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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