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Douglas Rose

J.P. Morgan Securities LLC

Westerville, OH

Farmington Hills, MI

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-02-03
TX RA APPROVED 2023-02-01
  • OH RA
    APPROVED
    Since 2023-02-03
  • TX RA
    APPROVED
    Since 2023-02-01

Branch Locations

370 S Cleveland Ave Floor 02, Westerville, OH 43081 • United States

38601 W 12 Mile Road, Floor 2, Farmington Hills, MI 48331 • 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
Wells Fargo Advisors Llc Dublin OH 10/2011 09/2020
Wells Fargo Clearing Services, Llc Dublin OH 10/2011 09/2020
Cuna Brokerage Services, Inc. Waverly IA 10/2020 05/2022
Cuna Mutual Group Waverly IA 10/2020 01/2023
Lpl Financial Llc Marysville OH 05/2022 01/2023
Wells Fargo Bank N.A. Dublin OH 10/2011 09/2020
J.P. Morgan Securities Llc Westerville OH 01/2023 Present
Jpmorgan Chase Bank, N.A. Westerville OH 01/2023 Present
  • 10/2011 → 09/2020
    Wells Fargo Advisors Llc
    Dublin, OH
  • 10/2011 → 09/2020
    Wells Fargo Clearing Services, Llc
    Dublin, OH
  • 10/2020 → 05/2022
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 10/2020 → 01/2023
    Cuna Mutual Group
    Waverly, IA
  • 05/2022 → 01/2023
    Lpl Financial Llc
    Marysville, OH
  • 10/2011 → 09/2020
    Wells Fargo Bank N.A.
    Dublin, OH
  • 01/2023 → Present
    J.P. Morgan Securities Llc
    Westerville, OH
  • 01/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Westerville, OH
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-02
S63 Uniform Securities Agent State Law Examination 1989-10-05
  • S65 Uniform Investment Adviser Law Examination
    1998-03-02
  • S63 Uniform Securities Agent State Law Examination
    1989-10-05
Designations
Other Names
  • Douglas R Rose
  • Douglas Richard Rose
  • Douglas Rose

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Westerville, OH
ARSENEAU FINANCIAL · WESTERVILLE, OH
ELEVATION FINANCIAL PARTNERS, LLC · WESTERVILLE, OH
LPL FINANCIAL LLC · WESTERVILLE, OH
STATE FARM INVESTMENT MANAGEMENT CORP. · Westerville, OH
LPL FINANCIAL LLC · Westerville, OH
LPL FINANCIAL LLC · WESTERVILLE, OH
FIFTH THIRD SECURITIES, INC. · WESTERVILLE, OH

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