Marc B. Rock

FOUNTAINHEAD ADVISORS

Warren, NJ 07059

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CRD#: 2469584

Professional summary

Marc Bruce Rock is a registered financial advisor currently at FOUNTAINHEAD ADVISORS located in Warren, New Jersey.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Marc has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

MJSR LLC REAL ESTATE, INVESTMENT RELATED, PO BOX 585, AVERILL PARK, NY 12018, PURCHASE/ZONE & DEVELOP PROPERTY IN THE ALBANY REGION, PASSIVE 25% OWNER, 12/2005, 0, 0, INVESTOR ONLY, NO ACTIVE DUTIES. NAME OF BUSINESS - ABRAHAMSENROCK - ABRAHAMSEN ROCK PROVIDES CUSTOMIZED WEALTH MANAGEMENT SOLUTIONS BASED CLIENT'S UNIQUE LIFE EXPERIENCES AND OBJECTIVES. 110 FIELDCREST AVENUE EDISON, NJ 08837. REGISTERED INVESTMENT ADVISOR. STARTED 06/2011, 200 HOURS PER MONTH, ALL DURING TRADING HOURS. POSITION: MANAGING MEMBER/CEO. ALSO CONTINUES TO BE AN INSURANCE BROKER FOR GUARDIAN, MASS MUTUAL AND PENN MUTUAL AS PART OF THE ONGOING BUSINESS OF ABRAHAMSENROCK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Bruce Rock's CRS (Customer Relationship Summary).

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

March 24, 2011 - Present

FOUNTAINHEAD ADVISORS

Office #1: 10 Independence Blvd Suite 120, Warren, NJ 07059

RIA

CRD#: 156185

Warren, NJ

Past

May 16, 2013 - August 10, 2015

SECUREVEST FINANCIAL GROUP

CRD#: 10100

EDISON, NJ

Past

November 18, 2009 - March 15, 2011

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

HOLMDEL, NJ

Past

September 11, 2008 - March 15, 2011

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

December 2, 2005 - October 31, 2007

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

September 20, 1999 - May 25, 2005

LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293

NEW YORK, NY

Past

April 21, 1998 - September 11, 1998

HEARTLAND SECURITIES CORP.

CRD#: 43201

EDISON, NJ

Past

April 15, 1997 - May 1, 1998

ICAPITAL MARKETS LLC

CRD#: 5209

OMAHA, NE

Past

May 26, 1994 - February 1, 1996

ICAPITAL MARKETS LLC

CRD#: 5209

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FOUNTAINHEAD ADVISORS

CRD#: 156185 / SEC#: 801-79472

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

New York

Registered Investment Advisory firm - (4/9/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(3/24/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/3/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/1/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/5/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/24/1998

General Securities Principal Examination

Current Firm

FOUNTAINHEAD ADVISORS

CRD#: 156185 / SEC#: 801-79472

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

New York

Registered Investment Advisory firm - (4/9/2014 Terminated)

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Contact information

Main Address

10 Independence Blvd Suite 120, Warren, NJ 07059

Mailing Address

Phone number

(732) 346-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNTAINHEAD ADVISORS & FOUNTAINHEAD PRIVATE WEALTH ADV 2A JUNE 2025 (6/12/2025)

Regulatory assets under management

Total Number of Accounts	3,733
AUM (Assets Under Management)	$ 1,019,956,144

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.

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Marc B. Rock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Bruce Rock's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECUREVEST FINANCIAL GROUP

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

LIGHTSPEED PROFESSIONAL TRADING LLC

HEARTLAND SECURITIES CORP.

ICAPITAL MARKETS LLC

ICAPITAL MARKETS LLC

Primary Firm SEC Registration

FOUNTAINHEAD ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/3/2009

Series 63

Date: 6/29/1994

SIE

Date: 8/10/2015

Series 55

Date: 5/1/2000

Series 7

Date: 5/5/1994

Series 24

Date: 2/24/1998

Current Firm

FOUNTAINHEAD ADVISORS

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNTAINHEAD ADVISORS

TRUST BUT VERIFY

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