John S. Zuckerman
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.
John Soehrens Zuckerman was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2019 - May 8, 2024
ROCKDALE SECURITIES, LLC
March 21, 2011 - September 25, 2017
CANTOR FITZGERALD & CO.
November 9, 1995 - September 9, 2002
LEHMAN BROTHERS INC.
December 3, 1994 - December 13, 1995
CREDIT SUISSE SECURITIES (USA) LLC
September 26, 1991 - May 4, 1993
DRESDNER KLEINWORT WASSERSTEIN, LLC
April 24, 1990 - August 23, 1991
MONTGOMERY SECURITIES
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
ROCKDALE SECURITIES, LLC
CRD#: 169798 / SEC#: , 8-69392
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DARK ROOM PARTNERS, LLC | OWNER | |
| FULHAM INVESTMENT PARTNERS, LLC | OWNER | |
| GOAL PARTNERS, LLC | OWNER | |
| BRICKS PARTNERS, LLC | OWNER | |
| CLD PARTNERS, LLC | OWNER | |
| BADALAMENTI, CHARLES RICHARD | FINANCIAL AND OPERATIONS PRINCIPAL | 2065038 |
| GARRETT, TAYLOR WESTON | PRESIDENT | 4829547 |
| HART, ADRIENNE YOST | CHIEF COMPLIANCE OFFICER | 1510179 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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