Brian D. Rockowitz

MADISON GLOBAL ADVISORS LLC

Hauppauge, NY 11788

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CRD#: 1892992

Professional summary

Brian David Rockowitz is a registered financial advisor currently at MADISON GLOBAL ADVISORS LLC located in Hauppauge, New York and MADISON GLOBAL PARTNERS LLC located in Hauppauge, New York.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Brian has worked at 13 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) BDR GROUP, INC. 49 Shady Lane, NY 11743; BUSINESS ESTABLISHED FOR INCOME TAX PURPOSES, NOT INVESTMENT RELATED; PRESIDENT; START DATE: 05/01/2015; 0 HOURS PER MONTH DEVOTED TO BUSINESS. 2) PRESTIGE INSURANCE, 75 FRANKLIN AVE. FRANKLIN SQUARE, NY 11010; INVESTMENT RELATED, LICENSED SALES AGENT; INSURANCE SALES; START DATE: 08/01/2018; 30 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 3)Madison Global Insurance Agency LLC, 350 Motor Pkwy suite 205, Hauppauge, NY 11788; Insurance Services, Non-investment related; 4-6 Hours per month; 0 hours during securities trading hours 4)Senior Services Of North America,532 Broadhollow Road Suite 106, Melville, NY, 11747; Insurance Services, Non-investment related; 4-6 Hours monthly; O during security trading hours 5) H&R Block Northport, NY 11731 Non investment related, after hours during tax season

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Rockowitz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 11, 2020 - Present

MADISON GLOBAL ADVISORS LLC

Office #1: 350 Motor Parkway Suite 205, Hauppauge, NY 11788

RIA

CRD#: 288894

Hauppauge, NY

Current

July 12, 2019 - Present

MADISON GLOBAL PARTNERS LLC

Office #1: 350 Vanderbilt Motor Parkway, Suite 205, Hauppauge, NY 11788

CRD#: 285406

Hauppauge, NY

Past

August 15, 2019 - December 31, 2019

MADISON GLOBAL ADVISORS LLC

RIA

CRD#: 288894

HAUPPAUGE, NY

Past

February 29, 2012 - July 23, 2019

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

MELVILLE, NY

Past

February 29, 2012 - July 23, 2019

AEGIS CAPITAL CORP.

CRD#: 15007

MELVILLE, NY

Past

January 4, 2010 - February 29, 2012

PAULSON INVESTMENT COMPANY LLC

RIA

CRD#: 5670

HAUPPAUGE, NY

Past

January 4, 2010 - February 29, 2012

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

HAUPPAUGE, NY

Past

July 20, 2007 - January 13, 2010

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

HAUPPAUGE, NY

Past

July 19, 2007 - January 13, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

HAUPPAUGE, NY

Past

August 16, 2006 - August 1, 2007

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

NEW YORK, NY

Past

March 28, 2001 - August 1, 2007

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

NEW YORK, NY

Past

February 26, 1997 - March 27, 2001

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

July 10, 1992 - March 24, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

August 8, 1991 - July 16, 1992

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

April 12, 1991 - August 1, 1991

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

November 24, 1990 - January 3, 1991

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

June 19, 1990 - December 3, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Past

June 13, 1989 - June 21, 1990

A.J. MICHAELS & CO., LTD.

CRD#: 19883

HAUPPAUGE, NY

Past

December 20, 1988 - March 10, 1989

INVESTORS CENTER, INC.

CRD#: 14670

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MADISON GLOBAL ADVISORS LLC

MADISON GLOBAL ADVISORS LLC | MADISON GLOBAL PARTNERS LLC

CRD#: 288894 / SEC#: 801-125976

RIA

Registered Investment Advisory firm - (8/19/2022 Approved)

Florida

Registered Investment Advisory firm - (9/7/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (9/30/2022 Terminated)

New York

Registered Investment Advisory firm - (9/7/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/12/2019)

Colorado
(8/8/2019)

Connecticut
(7/22/2019)

Florida
(8/16/2019)

IAR

Florida
(8/18/2022)

Illinois
(10/10/2019)

Maryland
(2/9/2024)

Michigan
(10/24/2023)

Minnesota
(8/9/2019)

New Jersey
(7/12/2019)

IAR

New Jersey
(3/11/2020)

New Mexico
(8/10/2019)

New York
(7/12/2019)

IAR

New York
(11/15/2021)

North Carolina
(11/13/2020)

North Dakota
(8/10/2019)

Ohio
(9/25/2020)

Pennsylvania
(7/20/2019)

South Carolina
(7/20/2019)

Texas
(7/20/2019)

Virginia
(8/1/2019)

Wisconsin
(7/30/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/5/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 2/1/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MADISON GLOBAL ADVISORS LLC

MADISON GLOBAL ADVISORS LLC | MADISON GLOBAL PARTNERS LLC

CRD#: 288894 / SEC#: 801-125976

RIA

Registered Investment Advisory firm - (8/19/2022 Approved)

Florida

Registered Investment Advisory firm - (9/7/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (9/30/2022 Terminated)

New York

Registered Investment Advisory firm - (9/7/2022 Terminated)

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Contact information

Main Address

350 Motor Parkway Suite 205, Hauppauge, NY 11788

Mailing Address

Phone number

(631) 240-4155

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MGA BROCHURE 09.21.2022 2 (3/12/2025)

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 80,400,000

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.

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Advisor Monitoring

Firm Stability Insights

Brian D. Rockowitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Rockowitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON GLOBAL PARTNERS LLC

MADISON GLOBAL ADVISORS LLC

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

PAULSON INVESTMENT COMPANY LLC

PAULSON INVESTMENT COMPANY LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

AUGMENT SECURITIES INC.

GRUNTAL & CO., L.L.C.

GILFORD SECURITIES INCORPORATED

CHATFIELD DEAN & CO., INC.

CHATFIELD DEAN & CO., INC.

THE STUART-JAMES COMPANY, INCORPORATED

A.J. MICHAELS & CO., LTD.

INVESTORS CENTER, INC.

Primary Firm SEC Registration

MADISON GLOBAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/5/1989

Series 79TO

Date: 2/1/2019

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1988

FINRA

Current Firm

MADISON GLOBAL ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MADISON GLOBAL ADVISORS LLC

TRUST BUT VERIFY

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