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JS

Jeffrey R. Sechrest

Some features on this profile are disabled
CRD#: 1526960
JS

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.

Jeffrey Ryan Sechrest, who also goes by Jeff Sechrest, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1995. Jeffrey had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Sechrest

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 7, 2015 - January 5, 2026

ROCKDALE SECURITIES, LLC

BD
CRD#: 169798
New York, NY
Past

July 13, 2012 - February 23, 2015

BERENSON & COMPANY, LLC

BD
CRD#: 28016
NEW YORK, NY
Past

November 20, 2002 - May 14, 2012

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

July 18, 2001 - November 20, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 24, 1997 - December 5, 2000

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
NEW YORK, NY
Past

September 26, 1995 - May 20, 1997

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/3/2001
General Securities Principal Examination

Current Firm

RS
ROCKDALE SECURITIES, LLC
ROCKDALE SECURITIES, LLC | SPENCER PIERCE SECURITIES, LLC

CRD#: 169798 / SEC#: , 8-69392

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
270 South Main Street Suite 103, Bountiful, UT 84010
Mailing Address
270 South Main Street Suite 112-f, Bountiful, UT 84010
Phone number
(215) 816-2800
Established
Delaware since 07/29/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DARK ROOM PARTNERS, LLCOWNER
FULHAM INVESTMENT PARTNERS, LLCOWNER
GOAL PARTNERS, LLCOWNER
BRICKS PARTNERS, LLCOWNER
CLD PARTNERS, LLCOWNER
BADALAMENTI, CHARLES RICHARDFINANCIAL AND OPERATIONS PRINCIPAL2065038
GARRETT, TAYLOR WESTONPRESIDENT4829547
HART, ADRIENNE YOSTCHIEF COMPLIANCE OFFICER1510179

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.

Company Information

ROCKDALE SECURITIES, LLC

CRD#: 169798

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