Arthur M. Rocker
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.
Arthur Montgomery Rocker, who also goes by Art Rocker, Rocker Rocker, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1984. Arthur had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 1993 - March 8, 1996
JASON MACKENZIE SECURITIES, INC.
August 3, 1989 - January 28, 1992
PORTFOLIO BROKERAGE SERVICES, INC.
January 28, 1988 - April 22, 1989
MADISON CHAPIN ASSOCS., INC.
October 23, 1984 - November 16, 1987
THE STUART-JAMES COMPANY, INCORPORATED
March 22, 1984 - October 22, 1984
BLINDER, ROBINSON & CO., 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
JASON MACKENZIE SECURITIES, INC.
CRD#: 15287 / SEC#: , 8-31910
Contact information
Documents
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.
