Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandra? Claim Your ProfileSandra Jean Rose is a financial advisor with over 24 years of experience in the industry. Currently, Sandra is a registered representative with LPL Financial LLC, serving clients from the New Canaan, Connecticut office. Prior to joining LPL Financial LLC, Sandra held positions at firms such as PRUCO SECURITIES, LLC., HAMILTON CAVANAUGH & ASSOCIATES, INC., TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, FIDELITY BROKERAGE SERVICES LLC, DAVID J. GREENE AND COMPANY, LLC, BABSON SECURITIES CORPORATION and FIDELITY DISTRIBUTORS CORPORATION. Sandra holds Series 6, 7, 55, 63, and 66 licenses and is a Chartered Financial Consultant.
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.
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2
CT
05/02/2023 - Present
LPL Financial LLC (NEW CANAAN CT)
CT
02/17/2021 - 05/19/2023
PRUCO SECURITIES, LLC. (New Canaan CT)
NY
01/20/2016 - 03/04/2021
HAMILTON CAVANAUGH & ASSOCIATES, INC. (NORTH WHITE PLAINS NY)
CT
02/18/2014 - 01/07/2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (STAMFORD CT)
CT
11/13/2008 - 12/24/2013
FIDELITY BROKERAGE SERVICES LLC (GREENWICH CT)
NY
07/03/2003 - 12/17/2003
DAVID J. GREENE AND COMPANY, LLC (NEW YORK NY)
NC
01/29/1998 - 04/16/2002
BABSON SECURITIES CORPORATION (CHARLOTTE NC)
RI
11/22/1991 - 04/17/1997
FIDELITY DISTRIBUTORS CORPORATION (SMITHFIELD RI)
BOTH
Issued 01/20/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/21/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2008
Series 7 - General Securities Representative Examination
BC
Issued 08/19/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/21/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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