Thorson Rockwell
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.
Thorson Rockwell, who also goes by Jack Rockwell, was a registered financial professional .
Thorson is a previously registered financial professional and started their career in finance in 1988. Thorson had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2012 - May 6, 2016
BUCKMAN, BUCKMAN & REID, INC.
December 19, 2011 - April 5, 2012
OBSIDIAN FINANCIAL GROUP, LLC
March 23, 2005 - June 17, 2005
GUNNALLEN FINANCIAL, INC
July 6, 2004 - December 3, 2004
WESTROCK ADVISORS, INC.
January 2, 2004 - May 21, 2004
CARLTON CAPITAL INC.
October 10, 2003 - January 2, 2004
PARK CAPITAL SECURITIES, LLC
December 10, 2002 - August 6, 2003
S.W. BACH & COMPANY
October 23, 2002 - January 3, 2003
MAXIM GROUP LLC
December 7, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
June 13, 2000 - December 11, 2000
WINDSOR STREET CAPITAL, LP
January 14, 1998 - June 13, 2000
GKN SECURITIES CORP.
August 8, 1996 - January 22, 1998
ROAN CAPITAL PARTNERS L.P.
November 8, 1994 - August 9, 1996
PRUDENTIAL EQUITY GROUP, LLC
June 26, 1992 - November 16, 1994
UBS FINANCIAL SERVICES INC.
February 20, 1990 - July 15, 1992
LEHMAN BROTHERS INC.
September 14, 1989 - January 16, 1990
SABLE CAPITAL MARKETS, INC.
March 16, 1989 - August 26, 1989
RODMAN & RENSHAW INC.
November 23, 1988 - December 21, 1988
GRAYSTONE NASH, 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
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
