Florence E. Rocks
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.
Florence Elizabeth Rocks, who also goes by Florence Elizabeth Field, Florence Field, Florence Elizabeth Lawrence, Florence Lawrence, was a registered financial professional .
Florence is a previously registered financial professional and started their career in finance in 1994. Florence had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2002 - November 2, 2018
SECURITY FIRST ADVISORS
March 9, 1998 - December 31, 2011
SECURITIES SERVICE NETWORK, LLC
October 10, 1994 - March 24, 1998
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SECURITY FIRST ADVISORS
CRD#: 117502 / SEC#: 801-118065
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,213 |
| AUM (Assets Under Management) | $ 232,265,595 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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