Thomas Rose, financial advisor Glen Ellyn IL
96 score

Thomas Rose

CRD Number: 1021848
Current Firm: Royal Alliance Associates, Inc.

Thomas Rose (CRD# 1021848) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in Glen Ellyn, IL and has over 34 years of experience in the finance industry. Thomas Rose has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

Similar Advisors
Robert Ellis, financial advisor Glen Ellyn IL
Robert K. Ellis
CRD# 871521
Ellis Wealth Advisors, LLC
Score
106
Similar Advisors
Allen Kutchins, financial advisor Glen Ellyn IL
Allen I. Kutchins
CRD# 4478796
Krd Financial
Score
106
Similar Advisors
Daniel Lockwood, financial advisor Glen Ellyn IL
Daniel A. Lockwood
CRD# 3080178
Waddell & Reed
Score
104
Professional Designations
Company Name Location Dates Years
Apollo Group / College For Financial Planning Greenwood Village, CO Nov 2005 - Current 11
Depaul University Chicago, IL Jan 2002 - Current 14
Royal Alliance Associates, Inc. Glen Ellyn, IL Nov 1989 - Current 27
Afc Advisory Corporation Flossmoor, IL Oct 2006 - Mar 2009 2
Rose And Associates Advisory Corp. Glen Ellyn, IL Jan 1990 - Oct 2006 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1981
Contact Info for Thomas J. Rose
Phone Number: 800-821-5100 EXT. 5389
Registered State(s):
  • FL
  • WI
  • IL
By the Numbers
  • Total Assets Under Management
    4,629
    MILLIONS
  • Total Number of Accounts
    19,113
    ACCOUNTS
  • Average Account Value
    $242,202
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Thomas Rose and other advisors.
BADGES
96
Clean Record
This advisor has a clean track record with regulators.

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.