Thomas Benjamin Rose
Investment Adviser Representative at Bragg Financial Advisors Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Benjamin Rose is an investment adviser representative with Bragg Financial Advisors Inc in Charlotte, NC, where they have been registered since 2020. They have worked in the securities industry since 1995 and have been registered with 7 firms, including Queens ROAD Securities, LLC and Wells Fargo Advisors Financial Network, LLC. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in North Carolina.
Office
Advisors at this office: 15
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina
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.
- Bragg Financial Advisors, Inc.Jun 2012 – no end date reportedCharlotte, NC
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Bragg Financial Advisors Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $5,000,000 (waivable)
- Managed Account Program - First $5 Million0.85%
- Managed Account Program - Next $5 Million0.70%
- Managed Account Program - Next $10 Million0.60%
- Managed Account Program - Over $20 Million0.50%
+3 more tiers on the firm profile
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
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 15
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Charlotte, NC
- SEC file number:
- 801-56890
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 17, 2026
View full firm profileOther advisors at Bragg Financial Advisors Inc
Showing 12 of 15 in the directory
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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. Thomas Benjamin 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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