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Sandra Rose Resigns from Pruco Securities

Sandra Rose (CRD #: 2185124), a broker registered with LPL Financial, resigned from her previous firm following alleged misconduct, according to her BrokerCheck record, accessed on June 6, 2023. Keep reading if you want to know more about her alleged conduct as a broker.

Resignation from Pruco Securities

On May 1, 2023, Sandra Rose resigned from Pruco Securities following allegations that she submitted non-genuine signatures on electronic brokerage account applications for multiple clients.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Sandra Rose has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 55 – Limited Representative-Equity Trader Exam
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Sandra Rose is a registered broker in eight states and a registered investment adviser in Connecticut.

She has also worked for the following firms:

  • Prudential Financial Planning Services (CRD#:5685)
  • Pruco Securities (CRD#:5685)
  • Aspire Advisors (CRD#:150652)
  • Hamilton Cavanaugh & Associates (CRD#:35972)
  • TIAA-CREF Individual & Institutional Services (CRD#:20472)
  • TIAA-CREF Advice and Planning Services (CRD#:20472)
  • Strategic Advisers (CRD#:104555)
  • Fidelity Brokerage Services (CRD#:7784)
  • David J. Greene and Company (CRD#:2072)
  • Babson Securities Corporation (CRD#:36929)
  • Fidelity Distributors Corporation (CRD#:6848)

Kurta Law Can Help

If you worked with Sandra Rose and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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