AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JR

John J. Rocco

ICE BONDS SECURITIES
NEW YORK, NY 10105
Some features on this profile are disabled
CRD#: 2303456
JR

Professional summary

John Joseph Rocco is a registered financial professional currently at ICE BONDS SECURITIES CORPORATION located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1993. John has worked at 4 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.

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) - BD

Click below to view John Joseph Rocco's CRS (Customer Relationship Summary).

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

Current

June 1, 2020 - Present

ICE BONDS SECURITIES CORPORATION

Office #1: 1345 Avenue Of The Americas 8th Floor, New York, NY 10105
BD
CRD#: 123635
NEW YORK, NY
Past

February 5, 2015 - June 3, 2020

TMC BONDS L.L.C.

BD
CRD#: 104507
New York, NY
Past

January 23, 1995 - January 9, 2014

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 7, 1993 - November 14, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(3/15/2022)
RR
Louisiana
(3/15/2022)
RR
New York
(6/1/2020)
RR
Ohio
(3/15/2022)
RR
Virginia
(3/15/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/26/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IB
ICE BONDS SECURITIES CORPORATION
CREDITEX SECURITIES CORPORATION | ICE TMC | ICE BONDS SECURITIES CORPORATION | ICE BONDPOINT | CREDITTRADE SECURITIES CORPORATION

CRD#: 123635 / SEC#: , 8-65601

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1345 Avenue Of The Americas 8th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 7th Floor, New York, NY 10105
Phone number
(646) 237-4328
Established
Delaware since 04/18/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CREDITTRADE INC.SHAREHOLDER
BORSTELMANN, PETER LPRESIDENT/DIRECTOR4825965
EILEN, JEFFREY PHILIPCHIEF COMPLIANCE OFFICER6149705
FICARRA, THOMAS JOSEPHDIRECTOR5502295
LANSING, RYAN WILLIAMDIRECTOR5408916
MCKISSICK, JOHN JOSEPHPRINCIPAL OPERATIONS OFFICER4939416
THOMASSON, SEAN JOSEPHFINANCIAL PRINCIPAL5124423

Disclosures

Regulatory Event1

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

ICE BONDS SECURITIES CORPORATION

CRD#: 123635New York, NY 10105

TRUST BUT VERIFY

Monitor John Rocco

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
Eileen Polese
Eileen PoleseAdvisorCheck Check Mark
HIGHTOWER ADVISORS, LLC
IAR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.