Robert J. Rockwell
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.
Robert Joe Rockwell, CFP®, who also goes by Rocky Rockwell, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2005 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 1, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 1, 2003 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 18, 1998 - June 30, 2003
FISERV INVESTOR SERVICES, INC.
August 26, 1996 - February 18, 1998
AEGON USA SECURITIES INC.
March 7, 1994 - August 26, 1996
CETERA INVESTMENT SERVICES LLC
June 2, 1993 - March 7, 1994
PAULSON INVESTMENT COMPANY LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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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