Richard D. Rockwell
Professional summary
Richard Dow Rockwell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Richard had worked at 8 firms, which includes DOW ROCKWELL LLC, GROVE POINT INVESTMENTS LLC, OSAIC SERVICES INC., SUNAMERICA SECURITIES INC., CITICORP INVESTMENT SERVICES, WAMU INVESTMENTS INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, INTERFIRST CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2019 - December 31, 2022
DOW ROCKWELL LLC
February 6, 2018 - December 31, 2018
DOW ROCKWELL LLC
January 26, 2017 - December 31, 2017
DOW ROCKWELL LLC
February 9, 2016 - December 31, 2016
DOW ROCKWELL LLC
January 28, 2014 - December 31, 2015
DOW ROCKWELL LLC
February 7, 2012 - December 31, 2013
DOW ROCKWELL LLC
March 10, 2011 - December 31, 2011
DOW ROCKWELL LLC
April 13, 2010 - December 31, 2010
DOW ROCKWELL LLC
October 23, 2006 - December 21, 2010
GROVE POINT INVESTMENTS, LLC
October 31, 2005 - August 17, 2006
OSAIC SERVICES, INC.
June 15, 2005 - December 31, 2009
DOW ROCKWELL LLC
October 20, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
February 12, 2004 - March 29, 2004
CITICORP INVESTMENT SERVICES
October 18, 2002 - March 29, 2004
CITICORP INVESTMENT SERVICES
May 1, 1998 - August 30, 2002
WAMU INVESTMENTS, INC.
March 14, 1996 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 24, 1995 - February 15, 1996
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
DOW ROCKWELL LLC
CRD#: 133307 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 1,800,000 |
Red Flags
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