Rose Marie Cook

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 12/2013 → Present
  Lpl Financial Llc
  The Woodlands, TX

Previous Registrations

• 2009-06-01 → 2012-12-19
  Morgan Stanley
  Houston, TX
• 2000-02-07 → 2009-06-01
  Citigroup Global Markets Inc.
  Houston, TX
  Houston, TX

Other Businesses

1. 12/24/2013 - WOODLANDS WEALTH BUILDERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 95%. 2. 04/13/2015 - No Business Name - Not Investment Related - At Reported Business Location(s) - OTHER-NOTARY - START 11/20/14 - 1 Hour Per Month During Securities Trading - Notarizing LPL client documentation as needed. 3. 9/3/2019 - Sovereign Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/30/2019 - 160 Hours Per Month During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-03-06
• S63 Uniform Securities Agent State Law Examination
  1998-09-22

Other Names

• Rose B Cook
• Rose B Cook
• Rose Marie Boudousquie