Diane Marie Rose

Employer firm

James Investment Research Inc CRD 110433

$1.21B regulatory AUM 3 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Selection of other advisers
• RESEARCH & TAX PREPARATION

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1994 → Present
  James Investment Research, Inc.
  Alpha, OH
• 10/2011 → Present
  Alps Distributors, Inc.
  Denver, CO

Other Businesses

JAMES INVESTMENT RESEARCH-INVESTMENT RELATED-1349 FAIRGROUND RD, XENIA, OH 45385-REGISTERED INVESTMENT ADVISOR - MARKETING ASSOCIATE-160 HRS. TOTAL PER MONTH 130 HOURS PER MONTH DURING TRADING HOURS-MARKETING, SALES.

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-09-30
• S65 Uniform Investment Adviser Law Examination
  1992-06-18

Other Names

• Diane Rose