Peter Rock
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.
Peter Rock, who also goes by Peter Louis Rock, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 3 firms and has passed the Series 63, Series 65, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2005 - December 31, 2007
UNDERWRITERS EQUITY CORPORATION
July 21, 2005 - November 30, 2012
P.J. ROBB VARIABLE, LLC
May 13, 1987 - March 31, 2005
PRUCO SECURITIES, LLC.
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
UNDERWRITERS EQUITY CORPORATION
CRD#: 36537 / SEC#: , 8-47307
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BISYS INSURANCE SERVICES, INC. | SHAREHOLDER | |
| HOWARD, JOHN MICHAEL | PRESIDENT & DIRECTOR | 2192605 |
| REYNOLDS, TREY LEONARD | EXECUTIVE VP, SALES | 2641359 |
| ROCK, PETER LOUIS | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 1669569 |
| SCHUYLER, JOHN EDWIN | ASSISTANT SECRETARY | 1056044 |
| TYSON, KENDRA C | CHIEF FINANCIAL OFFICER & FINOP | 5255111 |
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.
