AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RF

Rocky M. Fiore

PRAIRIE CAPITAL MARKETS
Oakbrook Terrace, IL 60181
Some features on this profile are disabled
CRD#: 2588089
RF

Professional summary

Rocky Michael Fiore is a registered financial professional currently at PRAIRIE CAPITAL MARKETS, LLC located in Oakbrook Terrace, Illinois.

Rocky is registered as a RR (Registered Representative) and started their career in finance in 1999. Rocky has worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rocky Michael Fiore'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®
None

Experience

Current

July 19, 2012 - Present

PRAIRIE CAPITAL MARKETS, LLC

Office #1: One Lincoln Centre 18w140 Butterfield Road Suite 800, Oakbrook Terrace, IL, 60181Office #2: One Lincoln Centre 18w140 Butterfield Road Suite 800, Oakbrook Terrace, IL, 60181
BD
CRD#: 158309
Oakbrook Terrace, IL
Past

January 20, 2000 - June 12, 2000

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

May 20, 1999 - January 10, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(8/1/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/18/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/15/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/29/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PRAIRIE CAPITAL MARKETS, LLC
PRAIRIE | PRAIRIE CAPITAL MARKETS, LLC

CRD#: 158309 / SEC#: , 8-68889

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Lincoln Centre 18w140 Butterfield Road Suite 800, Oakbrook Terrace, IL, 60181
Mailing Address
One Lincoln Centre 18w140 Butterfield Road Suite 800, Oakbrook Terrace, IL, 60181
Phone number
(630) 443-9933
Established
Illinois since 07/01/2010
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PRAIRIE CAPITAL HOLDINGS, INC.MEMBER
BEATON, DANIEL STEWARTCFO, FINOP4240769
WITT, TIMOTHY WYNDHAMCCO, HOME OFFICE SUPER., AML SUPER5952315

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.

Company Information

PRAIRIE CAPITAL MARKETS, LLC

CRD#: 158309Oakbrook Terrace, IL 60181

TRUST BUT VERIFY

Monitor Rocky Fiore

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
JF
James FlanaganAdvisorCheck Check Mark
INDEPENDENT FINANCIAL GROUP, LLC
IAR
RR
Downers Grove, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.