Michael A. Rock

INVESCO DISTRIBUTORS

HOLMDEL, NJ

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CRD#: 2455380

Professional summary

Michael Andrew Rock, CIMA®, who also goes by Michael Andrew Rock, Mike Rock, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Holmdel, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Andrew Rock | Mike Rock

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 Michael Andrew Rock'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 13, 2025 - Present

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOLMDEL, NJ

Past

July 2, 2024 - October 6, 2025

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

May 23, 2018 - July 2, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

February 23, 2012 - April 24, 2018

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

July 11, 2007 - September 28, 2011

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

September 9, 2005 - March 22, 2007

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

HUNTSVILLE, NC

Past

September 9, 2005 - March 22, 2007

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

HUNTSVILLE, NC

Past

June 5, 2003 - September 23, 2005

CETERA ADVISORS LLC

RIA

CRD#: 10299

MOORESVILLE, NC

Past

June 5, 2003 - September 23, 2005

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

July 8, 2002 - May 17, 2003

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

CHARLOTTE, NC

Past

December 7, 2001 - May 17, 2003

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

December 5, 1997 - November 12, 2001

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

GREENSBORO, NC

Past

May 2, 1997 - November 7, 1997

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

January 19, 1995 - May 16, 1995

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

March 9, 1994 - October 10, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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

Alabama
(10/13/2025)

Alaska
(10/13/2025)

Arizona
(10/13/2025)

Arkansas
(10/13/2025)

California
(10/13/2025)

Colorado
(10/13/2025)

Connecticut
(10/13/2025)

Delaware
(10/13/2025)

District of Columbia
(10/13/2025)

Florida
(10/13/2025)

Georgia
(10/13/2025)

Hawaii
(10/13/2025)

Idaho
(10/13/2025)

Illinois
(10/13/2025)

Indiana
(10/13/2025)

Iowa
(10/13/2025)

Kansas
(10/13/2025)

Kentucky
(10/13/2025)

Louisiana
(10/13/2025)

Maine
(10/13/2025)

Maryland
(10/13/2025)

Massachusetts
(10/13/2025)

Michigan
(10/13/2025)

Minnesota
(10/13/2025)

Mississippi
(10/13/2025)

Missouri
(10/13/2025)

Montana
(10/13/2025)

Nebraska
(10/13/2025)

Nevada
(10/13/2025)

New Hampshire
(10/13/2025)

New Jersey
(10/13/2025)

New Mexico
(10/13/2025)

New York
(10/13/2025)

North Carolina
(10/13/2025)

North Dakota
(10/13/2025)

Ohio
(10/13/2025)

Oklahoma
(10/13/2025)

Oregon
(10/13/2025)

Pennsylvania
(10/13/2025)

Puerto Rico
(10/13/2025)

Rhode Island
(10/13/2025)

South Carolina
(10/13/2025)

South Dakota
(10/13/2025)

Tennessee
(10/13/2025)

Texas
(10/13/2025)

Utah
(10/13/2025)

Vermont
(10/13/2025)

Virgin Islands
(10/13/2025)

Virginia
(10/13/2025)

Washington
(10/13/2025)

West Virginia
(10/13/2025)

Wisconsin
(10/13/2025)

Wyoming
(10/13/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/2/2002

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/15/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/10/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/28/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INVESCO DISTRIBUTORS, INC.

CRD#: 7369 / SEC#: , 8-21323

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

11 Greenway Plaza Suite 1000, Houston, TX 77046-1173

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046-1173

Phone number

(713) 214-1919

Established

Delaware since 11/18/1976

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INVESCO ADVISERS, INC.	DIRECT OWNER
GREGSON, MARK WILLIAM	CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP	2630230
HANCOCK, TRISHA BELL	CHIEF COMPLIANCE OFFICER	4373744
HARRIS, JERRY CLINTON II	DIRECTOR	3275064
KRAMER, BRIAN KEITH	DIRECTOR	4132102
MCDONOUGH, JOHN CARLIN	PRESIDENT/CEO/DIRECTOR	2363299
WISDOM, CRISSIE MCMENNAMY	ANTI-MONEY LAUNDERING COMPLIANCE OFFICER	2793857

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael A. Rock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Andrew Rock's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

INTERCAROLINA FINANCIAL SERVICES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

MML INVESTORS SERVICES, LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2002

Series 65

Date: 3/15/1994

Series 63

Date: 3/7/1994

SIE

Date: 10/1/2018

Series 31

Date: 5/10/2005

Series 7

Date: 2/28/1994

FINRA

Current Firm

INVESCO DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESCO DISTRIBUTORS, INC.

TRUST BUT VERIFY

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