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Thomas Benjamin Rose

Bragg Financial Advisors Inc

Charlotte, NC

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Current Employers
Bragg Financial Advisors Inc

1031 South Caldwell St Suite 200, Charlotte, NC 28203 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2020-08-14
  • NC RA
    APPROVED
    Since 2020-08-14

Branch Locations

1031 South Caldwell St Suite 200, Charlotte, NC 28203 • 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
OrganizationCityStateFromTo
Bragg Financial Advisors, Inc. Charlotte NC 06/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-27
S63 Uniform Securities Agent State Law Examination 1995-03-13
  • S65 Uniform Investment Adviser Law Examination
    1996-09-27
  • S63 Uniform Securities Agent State Law Examination
    1995-03-13
Designations
Other Names
  • Ben Rose
  • Thomas Rose

View on SEC IAPD

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