Randolph C. Rocks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Randolph Charles Rocks, CFP®, who also goes by Randy Rocks, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1983. Randolph had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
May 23, 2019 - May 24, 2022
IFP SECURITIES, LLC
April 27, 2016 - May 23, 2019
LPL FINANCIAL LLC
April 26, 2016 - May 24, 2022
INDEPENDENT FINANCIAL PARTNERS
May 11, 2009 - May 11, 2016
MML INVESTORS SERVICES, LLC
April 16, 2009 - May 11, 2016
MML INVESTORS SERVICES, LLC
February 14, 2007 - April 13, 2009
SECURITIES AMERICA ADVISORS, INC.
February 6, 2007 - April 13, 2009
SECURITIES AMERICA, INC.
May 30, 2003 - February 6, 2007
VALMARK ADVISERS, INC.
April 23, 2003 - February 6, 2007
VALMARK SECURITIES, INC.
March 9, 2001 - April 30, 2003
NEW ENGLAND SECURITIES
March 9, 2001 - April 30, 2003
NEW ENGLAND SECURITIES
June 26, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 26, 1992 - April 3, 2001
SIGNATOR INVESTORS, INC.
May 18, 1991 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 18, 1991 - June 1, 1992
PRUCO SECURITIES, LLC.
May 5, 1983 - May 2, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 5, 1983 - May 2, 1991
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IFP SECURITIES, LLC
CRD#: 297287 / SEC#: , 8-70150
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFP GROUP, LLC | OWNER | |
| ACHESON, JEFFERY ALLEN | CHIEF BUSINESS DEVELOPMENT OFFICER | 706698 |
| GILMAN, AARON LEE | CHIEF INVESTMENT OFFICER | 5611425 |
| HAMM, WILLIAM CHRISTOPHER | PRESIDENT, CHIEF OPERATING OFFICER | 5814331 |
| HAMM, WILLIAM EUGENE JR | CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS | 1227713 |
| JOHNSON, TORIAN | CHIEF COMPLIANCE OFFICER | 5363604 |
| MEJIA, OSCAR MIGUEL | FINOP | 5569235 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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