Warren M. Rockmacher
Professional summary
Warren Marc Rockmacher was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Warren is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Warren had worked at 15 firms, which includes INVESTACORP ADVISORY SERVICES INC, INVESTACORP INC., CHASE INVESTMENT SERVICES CORP., CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, BANC OF AMERICA INVESTMENT SERVICES INC., CITIZENS SECURITIES INC., SUN LIFE FINANCIAL DISTRIBUTORS INC., PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP, SCUDDER FINANCIAL SERVICES INC., DEAM INVESTOR SERVICES INC., MML INVESTORS SERVICES LLC, G. R. PHELPS & CO. INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2012 - May 17, 2016
INVESTACORP ADVISORY SERVICES INC
April 13, 2012 - April 28, 2016
INVESTACORP, INC.
November 16, 2007 - April 5, 2012
CHASE INVESTMENT SERVICES CORP.
November 16, 2007 - April 5, 2012
CHASE INVESTMENT SERVICES CORP.
May 29, 2007 - November 12, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - November 12, 2007
CITIGROUP GLOBAL MARKETS INC.
October 23, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 23, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 9, 2005 - October 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 25, 2005 - October 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 5, 2002 - March 2, 2005
CITIZENS SECURITIES, INC.
June 13, 2001 - September 25, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
November 2, 1999 - June 14, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 4, 1999 - August 24, 1999
SCUDDER FINANCIAL SERVICES, INC.
November 1, 1996 - December 31, 1998
DEAM INVESTOR SERVICES, INC.
March 1, 1996 - November 1, 1996
MML INVESTORS SERVICES, LLC
August 18, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
December 6, 1993 - July 12, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 6, 1993 - July 12, 1995
EQUITABLE ADVISORS, 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
INVESTACORP ADVISORY SERVICES INC
CRD#: 109011 / SEC#: 801-57738
Contact information
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.
