Diane Marie Rose

Current Employers

James Investment Research Inc

1349 Fairground Road, Xenia, OH 45385 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2011-11-18

OH RA
APPROVED

Since 2011-11-18

Branch Locations

1349 Fairground Road, Xenia, OH 45385 • 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

Organization	City	State	From	To
James Investment Research, Inc.	Alpha	OH	01/1994	Present
Alps Distributors, Inc.	Denver	CO	10/2011	Present

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

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

S63 Uniform Securities Agent State Law Examination

1998-09-30
S65 Uniform Investment Adviser Law Examination

1992-06-18

Other Names

Diane Rose

View on SEC IAPD

Current Employers

James Investment Research Inc

Disclosures

Employment History

Other Businesses

Exams

Other Names

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