John L. Rohl
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.
John Lee Rohl was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2009 - January 19, 2023
CASTLE ROCK FINANCIAL ADVISORS, LLC.
February 5, 2003 - April 13, 2009
CHARLES SCHWAB & CO., INC.
October 8, 1997 - April 13, 2009
CHARLES SCHWAB & CO., INC.
May 23, 1997 - December 31, 1997
NEW ENGLAND SECURITIES
June 18, 1996 - March 28, 1997
PFS INVESTMENTS INC.
May 31, 1994 - July 18, 1994
IDS LIFE INSURANCE COMPANY
May 31, 1994 - July 18, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CASTLE ROCK FINANCIAL ADVISORS, LLC.
CRD#: 150190 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 7,432,643 |
Red Flags
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