Rocky Ghoneim
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.
Rocky Ghoneim, who also goes by Ragie Ghoneim, Rocky A Ghoneim, Rocky Abdel Ghoneim, Rocky Abdel Ghoniem, was a registered financial professional .
Rocky is a previously registered financial professional and started their career in finance in 1996. Rocky had worked at 5 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 11 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
April 18, 2019 - July 22, 2022
J. W. COLE ADVISORS, INC.
May 21, 2014 - April 24, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
October 19, 1998 - February 2, 2001
PROTRADER SECURITIES L.P.
July 22, 1997 - September 24, 1998
INSIGHT SECURITIES & TRADING, INC.
July 1, 1996 - June 26, 1997
BLOCK TRADING INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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 55
Date: 9/16/1999
Limited Representative-Equity Trader ExamSeries 11
Date: 12/19/1995
Assistant Representative-Order Processing Qualification ExamCurrent Firm
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
