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Rocky V. Emery

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CRD#: 2297089
RE

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 Val Emery was a registered financial professional .

Rocky is a previously registered financial professional and started their career in finance in 1992. Rocky had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 1, 2018 - July 2, 2019

UNITED ADVISORS SERVICES, LLC

RIA
CRD#: 150080
Houston, TX
Past

February 12, 2018 - February 16, 2018

UNITED ADVISORS SERVICES, LLC

RIA
CRD#: 150080
Houston, TX
Past

October 11, 2016 - March 12, 2018

HILLTOP SECURITIES INC.

BD
CRD#: 6220
LEAGUE CITY, TX
Past

June 14, 2016 - March 12, 2018

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
LEAGUE CITY, TX
Past

April 1, 2015 - August 9, 2016

TEXAN CAPITAL

RIA
CRD#: 114247
HOUSTON, TX
Past

July 13, 2001 - October 20, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HOUSTON, TX
Past

July 13, 2001 - October 20, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 16, 1993 - July 27, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 7, 1992 - February 17, 1993

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

December 7, 1992 - February 17, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/15/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/28/2015
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/10/2016
General Securities Representative Examination

Current Firm

UA
UNITED ADVISORS SERVICES, LLC
ASPENOAK ASSET MANAGEMENT | VK WEALTHADVISORS | UNITED ADVISORS SERVICES, LLC | THE CAMPBELL ORGANIZATION | SPYGLASS INVESTMENT MANAGEMENT | RDL WEALTH MANAGEMENT | R. J. CAMPBELL INVESTMENTS, LLC | PURSINO ADVISORY GROUP, LLC | PCN CONSULTING | KAPSTONE FINANCIAL ADVISORS | HEMLOCK WEALTH MANAGEMENT | GREENSVIEW WEALTH MANAGEMENT, LLC | GREENHAVEN FINANCIAL MANAGEMENT, LLC | CONSILIENCE ASSET MANAGEMENT | BROOKSTONE ASSET MANAGEMENT | AXIM WEALTH MANAGEMENT

CRD#: 150080 / SEC#: 801-70104

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Contact information

Main Address
5000 T-rex Ave Suite 300, Boca Raton, FL 33431
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (1/30/2020)

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.

Company Information

UNITED ADVISORS SERVICES, LLC

CRD#: 150080

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