Rocky D. Christen
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.
Rocky Dee Christen, who also goes by Rocky Christen, was a registered financial professional .
Rocky is a previously registered financial professional and started their career in finance in 1991. Rocky had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2019 - January 10, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 17, 2018 - January 10, 2022
FIDELITY BROKERAGE SERVICES LLC
June 2, 2010 - July 6, 2018
TD AMERITRADE, INC.
June 2, 2010 - July 6, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 24, 2010 - July 6, 2018
TD AMERITRADE, INC.
August 7, 2006 - May 25, 2010
STRATEGIC ADVISERS LLC
December 9, 1991 - May 24, 2010
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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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