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Registered advisor
M•••••• R•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as Michael Alan Rose
At current firm
6 y
since Jan 2, 2020
In the industry
28 y
since Sep 21, 1998 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jan 2, 2020 · Longmont, Co
- H•••••• S••••••••• I••• BD affiliatedJul 19, 2018 to Dec 20, 2019 · Oklahoma City, Ok
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 4, 2017 · Oklahoma City, Ok
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 3, 2007 to Jun 1, 2009 · Oklahoma City, Ok
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Jan 26, 2006 · Oklahoma City, Ok
- B••• O•• S••••••••• C••••••••• unclassifiedJun 24, 2004 to Jul 6, 2005 · Okc, Ok
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 22, 2003 to Jun 1, 2004 · Oklahoma City, Ok
- C•••••• S••••• • C••• I••• national BDJul 20, 2000 to Jul 16, 2003 · Oklahoma City, Ok
Moves
a registration end followed by a registration begin elsewhere
- H•••••• S••••••••• I••• to E••••• J••••left Dec 20, 2019, registered Jan 2, 2020 (13 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to H•••••• S••••••••• I•••left Apr 4, 2017, registered Jul 19, 2018 (471 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••left Jan 26, 2006, registered Jul 3, 2007 (523 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left Jun 1, 2004, registered Jun 24, 2004 (23 days) · Other
- C•••••• S••••• • C••• I••• to M•• I•••••••• S•••••••• L••left Jul 16, 2003, registered Jul 22, 2003 (6 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address