Jeffrey A. Rocke
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.
Jeffrey Allen Rocke, who also goes by Jeff Rocke, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1983. Jeffrey had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2019 - December 4, 2024
FIRST PALLADIUM, LLC
January 17, 2014 - November 4, 2019
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
January 13, 2014 - December 4, 2017
MERCAP SECURITIES, LLC
May 17, 2011 - March 28, 2013
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
August 31, 2010 - January 10, 2014
KESTRA INVESTMENT SERVICES, LLC
November 19, 2008 - September 1, 2010
VALMARK ADVISERS, INC.
November 18, 2008 - September 1, 2010
VALMARK SECURITIES, INC.
March 3, 2003 - November 20, 2008
KESTRA INVESTMENT SERVICES, LLC
December 20, 1999 - November 20, 2008
KESTRA INVESTMENT SERVICES, LLC
May 3, 1999 - January 5, 2000
PARK AVENUE SECURITIES LLC
December 2, 1992 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
November 22, 1989 - November 13, 1992
WALNUT STREET SECURITIES, INC.
November 19, 1989 - December 5, 1989
OSAIC WEALTH, INC.
August 23, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
FIRST PALLADIUM, LLC
CRD#: 289822 / SEC#: , 8-70007
Contact information
Documents
Red Flags
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