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Scott Harris Rose

LPl Financial LLC

New York City, NY

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-10-17
NJ RA APPROVED 2025-10-15
NY RA APPROVED 2025-10-15
  • TX RA
    APPROVED_RES
    Since 2025-10-17
  • NJ RA
    APPROVED
    Since 2025-10-15
  • NY RA
    APPROVED
    Since 2025-10-15

Branch Locations

14 Wall Street,20Th Fl Ofc2020, New York City, NY 10005 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P Morgan Securities Inc. New York NY 10/2009 03/2019
Jpmorgan Chase Bank, N.A. New York NY 10/2010 03/2019
Rbc Capital Markets, Llc. New York NY 03/2019 10/2025
City National Bank New York NY 05/2019 10/2025
Lpl Financial Llc New York City NY 10/2025 Present
  • 10/2009 → 03/2019
    J.P Morgan Securities Inc.
    New York, NY
  • 10/2010 → 03/2019
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 03/2019 → 10/2025
    Rbc Capital Markets, Llc.
    New York, NY
  • 05/2019 → 10/2025
    City National Bank
    New York, NY
  • 10/2025 → Present
    Lpl Financial Llc
    New York City, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-02
S63 Uniform Securities Agent State Law Examination 1999-08-23
  • S65 Uniform Investment Adviser Law Examination
    2001-02-02
  • S63 Uniform Securities Agent State Law Examination
    1999-08-23

View on SEC IAPD

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