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CR

Christopher J. Rockers

HEIGHT CAPITAL MARKETS
Washington, DC 20005
Some features on this profile are disabled
CRD#: 2649377
CR

Professional summary

Christopher James Rockers, who also goes by Christopher Rockers, is a registered financial professional currently at HEIGHT CAPITAL MARKETS located in Washington, District Of Columbia.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1995. Christopher has worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 55, Series 6, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Rockers

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 Christopher James Rockers'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 5, 2025 - Present

HEIGHT CAPITAL MARKETS

Office #1: 1401 New York Avenue Nw Suite 700, Washington, DC 20005Office #2: 1401 New York Avenue Nw Suite 700, Washington, DC 20005
BD
CRD#: 150659
Washington, DC
Past

February 14, 2022 - March 13, 2025

KPMG CORPORATE FINANCE LLC

BD
CRD#: 103973
Denver, CO
Past

September 28, 2015 - February 8, 2022

D.A. DAVIDSON & CO.

RIA
CRD#: 199
DENVER, CO
Past

September 22, 2015 - February 8, 2022

D.A. DAVIDSON & CO.

BD
CRD#: 199
DENVER, CO
Past

August 6, 2014 - September 30, 2015

ALPINA CAPITAL, LLC

BD
CRD#: 145794
DENVER, CO
Past

July 21, 2000 - June 11, 2004

FALKENBERG CAPITAL CORPORATION

BD
CRD#: 103819
DENVER, CO
Past

July 17, 1998 - May 10, 1999

FORTA FINANCIAL GROUP, INC.

BD
CRD#: 28784
AUSTIN, TX
Past

July 17, 1996 - December 31, 1997

FORTA FINANCIAL GROUP, INC.

BD
CRD#: 28784
AUSTIN, TX
Past

August 22, 1995 - April 22, 1996

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO

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
Colorado
(3/5/2025)
RR
District of Columbia
(3/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/2015
Uniform Securities Agent 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: 7/10/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/5/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 2/19/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 6
Date: 8/21/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/31/2001
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

HC
HEIGHT CAPITAL MARKETS
HEIGHT CAPITAL MARKETS | HEIGHT SECURITIES, LLC

CRD#: 150659 / SEC#: , 8-68277

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1401 New York Avenue Nw Suite 700, Washington, DC 20005
Mailing Address
1401 New York Avenue, Nw Suite 700, Washington, DC 20005
Phone number
(202) 629-0015
Established
Delaware since 05/22/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HEIGHT CAPITAL, LLCSHAREHOLDER
AKRIDGE, JOHN EDWARD IVMANAGING PARTNER2943557
CASSAGNOL, SABRINACHIEF COMPLIANCE OFFICER1332969
SELF, JONATHAN ANDREWFINOP, CHIEF FINANCIAL OFFICER4497531

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

HEIGHT CAPITAL MARKETS

CRD#: 150659Washington, DC 20005

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