Rose & Gaines Wealth Group — Tupelo, MS
Marketing Brand1529 Cliff Gookin Blvd Tupelo, MS 38801 T: 662.844.7676 · Map and ... Founding Partner, Rose and Gaines Wealth Group Financial Advisor · Shye Link. Operating under RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD #149018).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Rose & Gaines Wealth Group,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD 149018 · IA
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Rose & Gaines Wealth Group — it reflects the regulatory profile of RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC.
What This Means
The firm behind this brand has average transparency. Some areas of their regulatory filings could be more detailed. Consider reviewing the full firm profile.
This places them in the 2th percentile of all scored firms.
This firm's disclosure quality is in the industry's middle range. The full firm profile shows exactly which filings could say more.
See full score breakdownRegulatory Context
Regulatory oversight is under RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
3 of 6,434 firm advisors use this brand
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC has 6,434 total registered advisors. 3 operate under the Rose & Gaines Wealth Group brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(3)
These advisors use the Rose & Gaines Wealth Group brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.