Rockne P. Hammer
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.
Rockne Paul Hammer, who also goes by Rocky Paul Hammer, Rocky Hammer, was a registered financial professional .
Rockne is a previously registered financial professional and started their career in finance in 1983. Rockne had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2000 - November 19, 2014
CHARLES SCHWAB & CO., INC.
April 6, 1999 - April 11, 2000
TAFFERER TRADING, LLC
April 20, 1998 - October 7, 1998
BLOCK TRADING INC.
October 16, 1997 - March 12, 1998
FOX & COMPANY INVESTMENTS INC.
March 29, 1996 - July 10, 1997
CHARLES SCHWAB & CO., INC.
June 8, 1994 - March 12, 1996
ACUMENT SECURITIES, INC.
June 24, 1989 - June 13, 1994
AMERIPRISE ADVISOR SERVICES, INC.
April 7, 1989 - April 24, 1989
CAPITAL BROKERAGE CORPORATION
October 17, 1988 - March 2, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
July 6, 1987 - September 5, 1989
ESSEX COMPANY
March 16, 1987 - July 18, 1987
FSC SECURITIES CORPORATION
December 23, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 20, 1985 - March 20, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 1985 - October 18, 1985
METROPOLITAN LIFE INSURANCE COMPANY
May 13, 1983 - January 2, 1985
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 8
Date: 12/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
