Sandra Rose, financial advisor New Canaan CT

Sandra Rose

CRD Number: 2185124
Current Firm: Lpl Financial LLC

Sandra Rose (CRD# 2185124) is an Investment Advisor Representative working at Lpl Financial LLC in New Canaan, CT and has over 32 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Lpl Finanical LLC New Canaan, CT May 2023 - Current 1
Pruco Securities, LLC New Canaan, CT Feb 2021 - May 2023 2
Prudential Insurance Company Of America New Canaan, CT Feb 2021 - May 2023 2
Aspire And Hamilton Cavanaugh White Plains, NY Jan 2016 - Feb 2021 5
Tiburon New York, NY Feb 2015 - Jan 2016 < 1
Tiaa Hamden, CT Jan 2014 - Jan 2015 1
Tiaa-cref Individual & Institutional Services, LLC Hamden, CT Jan 2014 - Jan 2015 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1992
S66 NASAA Uniform Combined State Law Examination Jan 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Sandra J. Rose
Phone Number: 704-733-3300
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    463,475
    MILLIONS
  • Total Number of Accounts
    1,910,545
    ACCOUNTS
  • Average Account Value
    $242,588
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
  • Other
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, WY

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