James Rose

Current Employers

Employment History

• 05/2015 → 09/2020
  United Advisors Services, Llc
  New York, NY
• 08/2020 → 07/2022
  National Asset Management
  Dayton, WY
• 09/2020 → 04/2025
  B. Riley Wealth Advisors, Inc.
  Memphis, TN
• 05/2025 → Present
  Steadtrust, Llc
  Sheridan, WY

Previous Registrations

• 2020-09-18 → 2025-05-29
  B. Riley Wealth Advisors, Inc.
  Dayton, WY
  Sheridan, WY
• 2015-05-27 → 2020-09-22
  United Advisors Services, Llc
  Dayton, WY
  Boca Raton, FL
• 2005-08-08 → 2015-04-01
  Ubs Financial Services Inc.
  Asheville, NC
  New York, NY
  New York, NY
  New York, NY
  Weehawken, NJ
  New York, NY
  Dayton, WY

Other Businesses

1) CENTAUR CAPITAL LLC, DAYTON, WY - OTHER FAMILY INVESTMENTS / MANAGE INVESTMENTS / START DATE 2003, DUTIES - CO-ADMINISTER FAMILY INVESTMENTS F/B/O MR. ROSE'S CHILDREN. 2) CENTAUR INVESTMENTS. DAYTON, WY. NOT INVESTMENT RELATED.BUSINESS - OIL/GAS INVESTMENTS. START DATE - 06/01/2003. .5 HRS/MONTH. NO SECURITIES TRADING HRS. DUTIES - REVIEW OIL/GAS WELLS 3) INDIAN ROCK CORP / 170 MASON STREET GREENWICH, CT 06830 / COMPANY/ OFFICER / DUTIES - CLOSING DOWN ENTITY / START DATE 8/4/2004. THIS WAS A FAMILY OFFICE ESTABLISED BY HIS GRANDPARENTS THAT CEASED OPERATING IN 2008. THE ENTITY IS STILL OPEN FOR TAX PLANNING AND ESTATE PURPOSES. JAMES DOES NOT HAVE A ROLE IN MANAGING. 4) JAMES SR ROSE TRUST, RR IS AN INCOME BENEFICIARY FROM THE TRUST AND HAS NO AUTHORITY OVER THE TRUST. 5) 2 THE SKY LLC, TREE FARM, MANAGEMENT PARTNER, BUFFALO, WV, 1 HR PER MONTH, ZERO DURING TRADING HRS., NOT INVESTMENT RELATED. 6) RDL WEALTH MANAGEMENT; INVESTMENT RELATED; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH STEADTRUST, INC START DATE 2015; 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS. 7) BTB CAPITAL LLC - THIS ENTITY WAS ESTABLISHED IN 2025 TO HOLD AN INVESTMENT ACCOUNT THAT JAMES IS THE BENEFICIAL OWNER THAT RESULTED FROM A DIVORCE. THE ACCOUNT IS HELD BY THE FIRM.

Exams

• S66 Uniform Combined State Law Examination
  2005-05-10