Roxane Rose: Investor Complaint Against Merrill Lynch Advisor

Santa Fe, New Mexico financial advisor Roxane Rose (CRD# 2722816) recently received an investor complaint alleging that she made unauthorized trades. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.

Ms. Rose’s BrokerCheck report discloses one investor complaint. Filed in April 2025, it alleges that as a representative of Merrill Lynch, she made unauthorized trades in the customer’s account between December 2024 and April 2025. The pending complaint alleges unspecified damages.

Merrill Lynch’s website includes a profile of Ms. Rose that describes her background and services. “Roxane has worked closely with families in accomplishing their goals for impactful wealth and wealth planning,” it explains. “With Roxane, clients have a long standing relationship provider and coordinator with a compassionate understanding of the needs of the family.  Roxane has extensive experience planning and managing all types of trusts.  She has been working with Special Needs Families and Special Needs Trusts for nearly 20 years.”

According to the Financial Industry Regulatory Authority, Roxane Rose holds 28 years of securities industry experience. Based in Santa Fe, New Mexico, she has been registered as a broker and an investment advisor with Merrill Lynch since 1999. Her past registrations include Spyglass Trading (Dallas, Texas; 1997-1999) and Smith Barney (New York, New York; 1996-1997). Her credentials include the passage of six securities industry qualifying exams: the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63. She holds 55 state licenses. (Information current as of April 21, 2025.)

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