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Inactive

Rose Pflug

Corient

San Diego, CA

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Current Employers
Corient

830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-09-11
  • CA RA
    APPROVED
    Since 2025-09-11

Branch Locations

12265 El Camino Real Suite 300, San Diego, CA 92130 • 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
Unemployed Portland OR 08/2015 06/2017
University Of Portland Portland OR 05/2019 05/2022
Kpmg Portland OR 06/2021 08/2021
D.A. Davidson & Co. Seattle WA 07/2022 12/2023
Pepperdine University Malibu CA 07/2017 04/2019
Corient Services Llc Miami FL 01/2024 Present
Corient San Diego CA 01/2024 Present
  • 08/2015 → 06/2017
    Unemployed
    Portland, OR
  • 05/2019 → 05/2022
    University Of Portland
    Portland, OR
  • 06/2021 → 08/2021
    Kpmg
    Portland, OR
  • 07/2022 → 12/2023
    D.A. Davidson & Co.
    Seattle, WA
  • 07/2017 → 04/2019
    Pepperdine University
    Malibu, CA
  • 01/2024 → Present
    Corient Services Llc
    Miami, FL
  • 01/2024 → Present
    Corient
    San Diego, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-23
  • S66 Uniform Combined State Law Examination
    2022-11-23
Designations

View on SEC IAPD

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JAMES T FARLEY
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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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