Pete P. Rock
Professional summary
Pete Peter Rock, who also goes by E. Pete Rock, Edmund Peter Rock, is a registered financial professional currently at THE TAVENNER COMPANY located in Springfield, Ohio.
Pete is registered as a RR (Registered Representative) and started their career in finance in 1984. Pete has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Pete Peter Rock's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2018 - Present
THE TAVENNER COMPANY
Office #1: 4910 Old Mechanicsburg Rd., Springfield, OH 45502July 24, 2002 - December 31, 2017
W. H. COLSON SECURITIES, INC.
January 7, 2002 - July 23, 2002
NORTHEAST SECURITIES, LLC
April 8, 1999 - December 31, 2001
INVESTORS CAPITAL CORP.
May 7, 1991 - March 18, 1999
GUARDIAN INVESTOR SERVICES LLC
January 18, 1984 - March 27, 1991
PFS INVESTMENTS 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
(1/5/2018)
(10/6/2024)
(5/1/2023)
Exams
FINRA
Current Firm
THE TAVENNER COMPANY
CRD#: 18004 / SEC#: , 8-41206
Contact information
FINRA licenses (24 States and Territories)
Red Flags
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Company Information
THE TAVENNER COMPANY
CRD#: 18004Springfield, OH 45502TRUST BUT VERIFY
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