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David Rose

Director at Davenport & Company

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
8
Licensing exams

IAPD record retrieved 17 October 2026SEC record

David Rose is Director of Davenport & Company LLC, a Richmond investment adviser managing $24.7B. David Rose has a current broker registration and no current investment-adviser registration and has passed 8 licensing exams.

Role at Davenport & Company

Title on Schedule A
Director
Control
David Rose is not a control person of Davenport & Company.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Rose has held the filed role since March 2001.

The firm

Davenport & Company LLC
Richmond, VA

Form ADV filed 27 July 2026

$24.7B AUM17,724 clients228 advisers22 offices

Career on record

Firms and exams, newest first
  1. Passed Series 52TO · 2025
  2. Passed Series 54 · 2021
  3. Passed SIE · 2018
  4. Passed Series 50 · 2017
  5. Passed Series 53 · 2014
  6. Passed Series 63 · 2010
  7. Passed Series 24 · 2001
  8. Passed Series 7 · 1985

Registrations and exams

Broker registration; no current adviser registration. David Rose has passed 8 qualifying exams.

Examinations

Series 6323 July 2010
Name
Uniform Securities Agent State Law Examination
Series 5424 September 2021
Name
Municipal Advisor Principal Qualification Examination
Series 5329 December 2014
Name
Municipal Securities Principal Examination
Series 2429 August 2001
Name
General Securities Principal Examination
Series 52TO25 September 2025
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 507 April 2017
Name
Municipal Advisor Representative Qualification Exam
Series 718 May 1985
Name
General Securities Representative Examination

Individual record

Full name
David Peter Rose
CRD
1288846
Firm
Davenport & Company LLC
Registration status
Broker registration; no current adviser registration
Firm bio
investdavenport.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Davenport lists David P. Rose on its board and identifies him as co-director of public finance. Official firm leadership page

Common questions

Where does David Rose work?

David Rose has been Director of Davenport & Company LLC since March 2001.

Source: Form ADV, Schedule A, filed 27 July 2026

Does David Rose have a current investment-adviser registration?

David Rose has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has David Rose passed?

David Rose has passed 8 licensing exams: the Series 7, Series 24, Series 63, Series 53, Series 50, SIE, Series 54 and Series 52TO. The earliest, the Series 7, was passed in May 1985.

Source: IAPD individual record, checked 17 October 2026

Leadership at Davenport & Company

Sources

  1. IAPD individual record, CRD 1288846. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Davenport & Company LLC, filed 27 July 2026. Title, control and ownership bands.
  3. Davenport & Company team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Rose or Davenport & Company LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.