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Timothy Michael Rosen

Financial Compass Investment Services, Inc

Springfield, TN

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Current Employers
Financial Compass Investment Services, Inc

Springfield, TN • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-09-20
TN RA APPROVED 2020-09-08
OH RA APPROVED 2016-08-24
KY RA APPROVED 2013-09-24
CA RA APPROVED 2008-06-04
  • TX RA
    APPROVED
    Since 2021-09-20
  • TN RA
    APPROVED
    Since 2020-09-08
  • OH RA
    APPROVED
    Since 2016-08-24
  • KY RA
    APPROVED
    Since 2013-09-24
  • CA RA
    APPROVED
    Since 2008-06-04

Branch Locations

Springfield, TN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Financial Compass Investment Services, Inc. Springfield TN 04/2008 Present
Self Employed Springfield TN 04/2013 04/2021
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-08
  • S65 Uniform Investment Adviser Law Examination
    2008-04-08
Other Names
  • Tim Rosen

View on SEC IAPD

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