Joleen P Rose
Investment Adviser Representative at Morgan Stanley
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Joleen P. Rose is an investment adviser representative with Morgan Stanley in San Diego, CA, where they have been registered since 2022. They have worked in the securities industry since 2015 and have been registered with 3 firms, including LPL Financial LLC and Northwestern Mutual Investment Services, LLC. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California, Texas, and Washington.
Registrations & licenses
- Investment adviser:
- California, Texas, Washington
- Broker:
22 states and territories
Alaska, Arizona, Arkansas, California, District of Columbia, Florida, Georgia, Idaho, Illinois, Kentucky, Maryland, Michigan, Minnesota, New Jersey, New Mexico, New York, Ohio, Oregon, South Dakota, Tennessee, Texas, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Northwestern Mutual Investment Services LLCAug 2014 – Dec 2019Seattle, WA
- LPL Financial, LLCDec 2019 – Mar 2021Seattle, WA
- Morgan Stanley Smith Barney LLCJan 2022 – no end date reportedSeattle, WA
- UnemployedApr 2021 – Dec 2021Seattle, WA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Morgan Stanley
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
- Performance-based fees
- Other
- Firm account minimum
- $10,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 23,008
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Purchase, NY
- SEC file number:
- 801-70103
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 28, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joleen P Rose has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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