Rose Mary Thompson

Current Employers

Commons Capital, Llc

75 2Nd Avenue Suite 410, Needham, MA 02494 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2012-12-14

MA RA
APPROVED

Since 2012-12-14

Branch Locations

75 2Nd Avenue Suite 410, Needham, MA 02494 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Mutual Securities, Inc.	Newton	MA	01/2013	10/2018
Commons Capital Advisors, Llc	Newton	MA	12/2012	Present
Leigh Baldwin & Co., Llc	Cazeonvia	NY	10/2018	Present

01/2013 → 10/2018

Mutual Securities, Inc.

Newton, MA
12/2012 → Present

Commons Capital Advisors, Llc

Newton, MA
10/2018 → Present

Leigh Baldwin & Co., Llc

Cazeonvia, NY

Previous Registrations

2011-02-17 → 2013-01-07

B. Riley Wealth Advisors, Inc.

Newton, MA
2007-09-25 → 2011-02-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wellesley Hills, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-09-12
S63	Uniform Securities Agent State Law Examination	2001-12-07

S66 Uniform Combined State Law Examination

2006-09-12
S63 Uniform Securities Agent State Law Examination

2001-12-07

Other Names

Rose Mary Feder
Rose Mary Snyder
Rose Mary Snyder

View on SEC IAPD