Jeffrey A. Rocheck
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 Alan Rocheck was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1988. Jeffrey had worked at 5 firms and has passed the SIE 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
May 13, 1993 - April 26, 2024
INDEPENDENCE CAPITAL CO., INC.
April 9, 1991 - May 18, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 9, 1991 - May 18, 1993
SIGNATOR INVESTORS, INC.
August 22, 1990 - November 2, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 22, 1990 - November 2, 1990
EQUITABLE ADVISORS, LLC
July 15, 1988 - July 5, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 15, 1988 - July 5, 1990
SIGNATOR INVESTORS, INC.
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
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
