Lynn M. Rockwell
Professional summary
Lynn Marie Rockwell is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Lynn is registered as a RR (Registered Representative) and started their career in finance in 1998. Lynn has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lynn Marie Rockwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901January 6, 2023 - February 23, 2023
SECURITIES AMERICA, INC.
July 26, 2005 - December 31, 2022
WORLD INVESTMENTS, LLC
May 21, 2004 - July 12, 2005
LPL FINANCIAL LLC
April 14, 2003 - December 10, 2003
METROPOLITAN LIFE INSURANCE COMPANY
April 14, 2003 - December 10, 2003
MSI FINANCIAL SERVICES, INC.
July 18, 2001 - February 4, 2003
AVANTAX INVESTMENT SERVICES, INC.
June 5, 1998 - April 12, 2001
CHARLES SCHWAB & CO., INC.
May 13, 1998 - May 22, 1998
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/15/2023)
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Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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