RR
Richard J. Rock
BALBOA WEALTH PARTNERS
Newport Beach, CA 92660
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CRD#: 2779692
RR
Professional summary
Richard Joseph Rock is a registered financial advisor currently at BALBOA WEALTH PARTNERS, INC. located in Newport Beach, California and WILLOW COVE INVESTMENT GROUP, INC. located in Winneconne, Wisconsin.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 31 and Series 7 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.
1. Dad's Liquor and Deli, 2421 S. El Camino Real, San Clemente, CA. 92672. Business is not investment related, Retail sales of food and drink; Employee and general management, my Dad owns the business, start date Jan.1985; Work 30-32 hours per month and none are during market hours. 2. Willow Cove Investment Group, Inc.; 27765 County Land Road, Laguna Niguel, CA 92677; Investment-Related Business; Registered Rep of a Broker Dealer; Being agent of record on existing life insurance and annuity contracts. Prospecting insurance, annuity & DST Real Estate business; Start date 08/2024; work 24 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Rock'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®
NoneExperience
Current
August 26, 2021 - Present
BALBOA WEALTH PARTNERS, INC.
Office #1: 1400 Newport Center Drive Suite 290, Newport Beach, CA 92660RIA
CRD#: 282329
Newport Beach, CA
Current
June 24, 2024 - Present
WILLOW COVE INVESTMENT GROUP, INC.
Office #1: 5887 T Bar Lane, Winneconne, WI 54986BD
CRD#: 107824
Winneconne, WI
Past
June 1, 2009 - August 5, 2021
MORGAN STANLEY
RIA
CRD#: 149777
Laguna Niguel, CA
Past
June 1, 2009 - August 5, 2021
MORGAN STANLEY
BD
CRD#: 149777
Laguna Niguel, CA
Past
March 28, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LAGUNA NIGUEL, CA
Past
September 10, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LAGUNA NIGUEL, CA
Past
August 28, 1996 - September 10, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
BW
BALBOA WEALTH PARTNERS, INC.
BALBOA WEALTH PARTNERS, INC. | ZELKO WEALTH MANAGEMENT | WILLOW COVE | WEALTH MANAGEMENT SOLUTIONS | TOZAI WEALTH MANAGEMENT | SEASONS TWO VENTURES FUND | SB WEALTH STRATEGIES | SAM FINANCIAL GROUP | ROCKWOOD INVESTMENT COUNSEL | ROBINSON SHUMAKER WEALTH MANAGEMENT | NAUTICAL WEALTH MANAGEMENT | GATEWAY CAPITAL WEALTH | FSA INTEGRATED | ESSENTIAL RETURNS | BION CAPITAL PARTNERS | BION CAPITAL
CRD#: 282329 / SEC#: 801-107029
RIA
Registered Investment Advisory firm - (12/11/2015 Approved)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.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
IAR
California(8/26/2021)
RR
California(7/29/2024)
IAR
Texas(8/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BALBOA WEALTH PARTNERS, INC.
BALBOA WEALTH PARTNERS, INC. | ZELKO WEALTH MANAGEMENT | WILLOW COVE | WEALTH MANAGEMENT SOLUTIONS | TOZAI WEALTH MANAGEMENT | SEASONS TWO VENTURES FUND | SB WEALTH STRATEGIES | SAM FINANCIAL GROUP | ROCKWOOD INVESTMENT COUNSEL | ROBINSON SHUMAKER WEALTH MANAGEMENT | NAUTICAL WEALTH MANAGEMENT | GATEWAY CAPITAL WEALTH | FSA INTEGRATED | ESSENTIAL RETURNS | BION CAPITAL PARTNERS | BION CAPITAL
CRD#: 282329 / SEC#: 801-107029
RIA
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Contact information
Main Address
6263 North Scottsdale Road Suite 265, Scottsdale, AZ 85250
Mailing Address
Phone number
(949) 445-1465
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,068 |
| AUM (Assets Under Management) | $ 804,833,455 |
Red Flags
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