Douglas Rose

CRD 1985209 · J.P. Morgan Securities LLC · Westerville, OH

IA RegisteredBroker

Also appears in the source record as: Douglas Richard Rose; Douglas R Rose

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 3Series 7Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 36
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (17)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Westerville, OH · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Westerville, OH · BC capacity

start not retrieved → present
Lpl Financial LLC
Marysville, OH · IA capacity

May 18, 2022 → Feb 13, 2023
Lpl Financial LLC
Marysville, OH · BC capacity

May 18, 2022 → Feb 13, 2023
Cuna Brokerage Services, Inc.
Marysville, OH · IA capacity

Oct 8, 2020 → May 18, 2022
Cuna Brokerage Services, Inc.
Marysville, OH · BC capacity

Oct 8, 2020 → May 18, 2022
Wells Fargo Clearing Services, LLC
Dublin, OH · IA capacity

Oct 12, 2011 → Oct 5, 2020
Wells Fargo Clearing Services, LLC
Dublin, OH · BC capacity

Oct 11, 2011 → Oct 5, 2020
The Huntington Investment Company
Dublin, OH · IA capacity

Jun 18, 2010 → Oct 11, 2011
The Huntington Investment Company
Dublin, OH · BC capacity

Jun 17, 2010 → Oct 11, 2011
Morgan Stanley Smith Barney LLC
Columbus, OH · IA capacity

Jun 1, 2009 → Jul 8, 2010
Morgan Stanley Smith Barney
Columbus, OH · BC capacity

Jun 1, 2009 → Jul 8, 2010
Citigroup Global Markets Inc.
Columbus, OH · IA capacity

Jun 23, 2003 → Jun 1, 2009
Citigroup Global Markets Inc.
Columbus, OH · BC capacity

Jun 20, 2003 → Jun 1, 2009
Prudential Securities Incorporated
Columbus, OH · IA capacity

Oct 6, 1999 → Jun 27, 2003
Prudential Securities Incorporated
New York, NY · BC capacity

Jan 22, 1991 → Jun 27, 2003
Painewebber Incorporated
Weehawken, NJ · BC capacity

Sep 21, 1989 → Jan 23, 1991

Source & corrections

Where this page comes from

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