Corey L. Rockafeler
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.
Corey Lawrence Rockafeler, who also goes by Corey L Howard, Corey L Rockafeller, was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 1986. Corey had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 1998 - August 27, 2002
EASTBROOK CAPITAL GROUP LLC
July 9, 1997 - April 2, 1998
WHITEHALL WELLINGTON INVESTMENTS, INC.
August 28, 1996 - September 10, 1997
H G I
January 8, 1991 - August 29, 1996
PRIME CHARTER LTD.
May 3, 1990 - January 29, 1991
FINANCIAL SQUARE PARTNERS
August 25, 1989 - October 19, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 10, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 8, 1988 - June 5, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 29, 1988 - May 24, 1990
CIBC WORLD MARKETS CORP.
July 23, 1986 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
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
EASTBROOK CAPITAL GROUP LLC
CRD#: 39781 / SEC#: , 8-48808
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ATLAS B TRUST | MEMBER | |
| THE CREST VIEW TRUST | MEMBER | |
| THE MAIN STREET TRUST | MEMBER | |
| THE MONTAUK TRUST | MEMBER | |
| THE OAK TREE TRUST | MEMBER | |
| ALBION CORP. | TRUSTEE OF THE MAIN STREET TRUST | |
| COMMONWEALTH TRUST COMPANY | TRUSTEE OF THE OAK TREE TRUST | |
| DAUM, MARC | CFO/FINANCIAL AND OPERATIONS PRINCIPAL (05/2004) | 1503109 |
| ESSEX SAVINGS BANK | TRUSTEE OF THE CREST VIEW TRUST | |
| NORTH FORK MANAGEMENT SERVICES INC. | TRUSTEE OF THE MONTAUK TRUST | |
| SAMSON, EDWARD GREGORY | FINOP CONSULTANT CCO | 2041321 |
| UNIVERSAL ASSET MANAGEMENT INC. | TRUSTEE OF THE ATLAS B TRUST |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
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.
