Richard Rose is a registered investment advisor, based in Raleigh, NC, with 33 years of industry experience.
Location
100 E. Six Forks Road, Suite 200, Raleigh, NC, 27609
Get directionsHistory
Regulatory History
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 →Other Business ActivitiesSells Insurance
Richard is an insurance agent, focusing on sales and service of existing accounts with fixed insurance products since 2016. He dedicates a few hours per week to this activity, with minimal time spent during normal trading hours.
Employment History
Current Registrations
Capital Investment Brokerage, INC.Broker
Capital Investment Advisory Services, LLC
Capital Investment Group, INC.Broker
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations2 states
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.