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Thomas Everett Rose

Kestra Investment Services, LLC

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About Thomas Everett Rose

Thomas Everett Rose is a financial advisor who has been in the industry since 1974. Thomas is currently registered with Kestra Investment Services, LLC and has been with them since 2014. Previously, Thomas was registered with AXA Advisors, LLC, NFP Securities, Inc., Linsco/Private Ledger Corp., Northwestern Mutual Investment Services, LLC, The Equitable Life Assurance Society of the United States, and Manulife Financial Securities LLC. Thomas holds licenses in Alabama, Florida, New York, and Texas and holds the Series 7TO, Series 63, Series 65, and Series 1 licenses.

Firm Information

Thomas Rose is currently registered with Kestra Investment Services, LLC. Kestra Investment Services, LLC is a Limited Liability Company formed in September 2014 and is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 14 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

302

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Thomas Rose’s Registration & Firm History

TX

09/02/2014 - Present

Kestra Investment Services, LLC (AMARILLO TX)

TX

11/15/2005 - 03/10/2014

AXA ADVISORS, LLC (AMARILLO TX)

TX

06/15/2005 - 11/01/2005

NFP SECURITIES, INC. (AMARILLO TX)

SC

12/14/2004 - 06/22/2005

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

WI

07/22/2004 - 12/15/2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

NY

10/20/1980 - 07/01/2004

AXA ADVISORS, LLC (NEW YORK NY)

MA

02/10/1999 - 06/21/2002

MANULIFE FINANCIAL SECURITIES LLC (BOSTON MA)

NY

04/08/1974 - 01/05/2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)

MA

05/15/1996 - 12/11/1998

MANEQUITY, INC. (BOSTON MA)

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Licenses & Designations

IA

Issued 03/26/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/17/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/02/1974

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas Everett Rose. Review regulatory record here.
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