Peter C. Rockefeller
Professional summary
Peter Clark Rockefeller, who also goes by Peter Clark Rockfeller, is a registered financial professional currently at BROCK SECURITIES LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1994. Peter has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Clark Rockefeller's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2017 - Present
BROCK SECURITIES LLC
Office #1: 505 Park Ave 14th Floor, New York, NY 10022May 21, 2012 - March 27, 2014
FOCUSPOINT PRIVATE CAPITAL GROUP
August 12, 2005 - April 16, 2012
BERKSHIRE GLOBAL ADVISORS LP
March 27, 2002 - February 10, 2003
CITICORP INVESTMENT SERVICES
December 18, 2000 - June 1, 2001
CREDIT SUISSE SECURITIES (USA) LLC
October 5, 1994 - December 18, 2000
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/15/2018)
Exams
FINRA
Current Firm
BROCK SECURITIES LLC
CRD#: 122156 / SEC#: , 8-65467
Contact information
FINRA licenses (4 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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