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CFP
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CFP

Douglas Rose

J.P. Morgan Securities LLC
37 Years of Experience
Columbus, OH
Broker
View SEC Summary
View SEC Summary

Douglas Rose is a CFP-designated registered investment advisor at J.P. Morgan Securities LLC, based in Columbus, OH, with 37 years of industry experience. Douglas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3415 Vision Dr, Floor 3D, Columbus, OH, 43219

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
February 2023 - Present · 3 yrs 8 mos
J.P. Morgan Securities LLC
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
LPL Financial LLCBroker
May 2022 - February 2023 · 9 mos
LPL Financial LLC
May 2022 - February 2023 · 9 mos
CUNA Brokerage Services, INC.Broker
October 2020 - May 2022 · 1 yr 7 mos
CUNA Brokerage Services, INC.
October 2020 - May 2022 · 1 yr 7 mos
Wells Fargo Clearing Services, LLC
October 2011 - October 2020 · 9 yrs
Wells Fargo Clearing Services, LLCBroker
October 2011 - October 2020 · 9 yrs
The Huntington Investment Company
June 2010 - October 2011 · 1 yr 4 mos
The Huntington Investment CompanyBroker
June 2010 - October 2011 · 1 yr 4 mos
Morgan Stanley Smith BarneyBroker
June 2009 - July 2010 · 1 yr 1 mo
Morgan Stanley Smith Barney LLC
June 2009 - July 2010 · 1 yr 1 mo
Citigroup Global Markets INC.
June 2003 - June 2009 · 6 yrs
Citigroup Global Markets INC.Broker
June 2003 - June 2009 · 6 yrs
Prudential Securities Incorporated
October 1999 - June 2003 · 3 yrs 8 mos
Prudential Securities IncorporatedBroker
January 1991 - June 2003 · 12 yrs 5 mos
Painewebber IncorporatedBroker
September 1989 - January 1991 · 1 yr 4 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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