Richard W. Chocko
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Walter Chocko was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2011 - July 31, 2012
ROCKWELL GLOBAL CAPITAL LLC
May 17, 2011 - October 21, 2011
INTERNATIONAL ASSETS ADVISORY, LLC
February 13, 2009 - May 25, 2011
J.P. TURNER & COMPANY, L.L.C.
December 9, 2004 - February 27, 2009
GUNNALLEN FINANCIAL, INC
January 29, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
October 25, 1996 - January 29, 2004
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
Red Flags
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