FR
Franklin J. Rockwood
STRATEGIC ADVISERS LLC
HOLLADAY, UT
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CRD#: 1968632
FR
Professional summary
Franklin Joseph Rockwood, who also goes by Frank Rockwood, Franklin Rockwood, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Holladay, Utah and FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Franklin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Franklin has worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Rockwood | Franklin Rockwood
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.
OAA#: 62783 | Org Name:Smiles on 3 | Org Addr:Salt Lake City, UT, US | Nature of Bus:Photography - providing photo booth services for weddings, parties, and corporate events | Invst Rel:N | Title:Owner - manager | Duties:Taking orders for new business. Designing art work for photo strips. Working the booth | Start Dt:01/01/2013 | Total Hrs p/m:10 | Sec Trdng Hrs p/m:0
CRS (Client Relationship Summary) - RIA
Click below to view Franklin Joseph Rockwood's 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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 49 North 400 West, Salt Lake City, UT 84101RIA
CRD#: 104555
HOLLADAY, UT
Current
January 10, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101BD
CRD#: 7784
Salt Lake City, UT
Past
September 16, 2020 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SALT LAKE CITY, UT
Past
June 30, 2008 - December 17, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SANDY, UT
Past
March 31, 2003 - April 9, 2008
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
SALT LAKE CITY, UT
Past
May 19, 1999 - December 31, 1999
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
September 23, 1997 - December 31, 1998
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
March 15, 1996 - August 11, 1997
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
January 16, 1992 - April 13, 1994
FIRST SECURITY INVESTOR SERVICES, INC.
BD
CRD#: 15515
SALT LAKE CITY, UT
Past
August 11, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
August 11, 1989 - January 15, 1992
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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.RR
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
RR
Alabama(1/27/2020)
RR
Alaska(1/24/2020)
RR
Arizona(1/30/2020)
RR
Arkansas(2/3/2020)
RR
California(1/27/2020)
RR
Colorado(1/27/2020)
RR
Connecticut(1/27/2020)
RR
Delaware(2/3/2020)
RR
District of Columbia(1/28/2020)
RR
Florida(1/27/2020)
RR
Georgia(1/28/2020)
RR
Hawaii(1/27/2020)
RR
Idaho(1/27/2020)
RR
Illinois(2/25/2020)
RR
Indiana(1/28/2020)
RR
Iowa(1/30/2020)
RR
Kansas(1/28/2020)
RR
Kentucky(1/27/2020)
RR
Louisiana(1/27/2020)
RR
Maine(1/27/2020)
RR
Maryland(1/27/2020)
RR
Massachusetts(1/27/2020)
RR
Michigan(1/28/2020)
RR
Minnesota(1/29/2020)
RR
Mississippi(1/27/2020)
RR
Missouri(3/4/2020)
RR
Montana(1/28/2020)
RR
Nebraska(1/27/2020)
RR
Nevada(2/10/2020)
RR
New Hampshire(2/3/2020)
RR
New Jersey(1/27/2020)
RR
New Mexico(1/27/2020)
RR
New York(5/14/2020)
RR
North Carolina(1/29/2020)
RR
North Dakota(2/3/2020)
RR
Ohio(1/27/2020)
RR
Oklahoma(1/28/2020)
RR
Oregon(1/28/2020)
RR
Pennsylvania(1/27/2020)
RR
Puerto Rico(2/10/2020)
RR
Rhode Island(1/27/2020)
RR
South Carolina(1/27/2020)
RR
South Dakota(1/27/2020)
RR
Tennessee(1/27/2020)
RR
Texas(1/26/2020)
IAR
Texas(3/31/2025)
RR
Utah(1/21/2020)
IAR
Utah(3/31/2025)
RR
Vermont(1/27/2020)
RR
Virgin Islands(1/27/2020)
RR
Virginia(1/27/2020)
RR
Washington(1/24/2020)
RR
West Virginia(2/12/2020)
RR
Wisconsin(1/27/2020)
RR
Wyoming(1/29/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/10/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
