SR
Stephen Rockhill
CITIZENS SECURITIES
Cicero, NY 13039
Some features on this profile are disabled
CRD#: 3263837
SR
Professional summary
Stephen Rockhill, who also goes by Stephen A Rockhill, Stephen Arlington Rockhill, Steve Rockhill, Steve Rockhill, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Cicero, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen A Rockhill | Stephen Arlington Rockhill | Steve Rockhill | Steve Rockhill
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Rockhill's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Rockhill'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
April 8, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 7941 Brewerton Rd Ms: Nyr086, Cicero, NY 13039Office #2: 7541 Oswego Rd, Rt 37 Ms: Nyr172, Liverpool, NY 13090RIA
BD
CRD#: 39550
Cicero, NY
Current
April 1, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 7941 Brewerton Rd Ms: Nyr086, Cicero, NY 13039Office #2: 7541 Oswego Rd, Rt 37 Ms: Nyr172, Liverpool, NY 13090RIA
BD
CRD#: 39550
Cicero, NY
Past
January 26, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Dewitt, NY
Past
January 26, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Dewitt, NY
Past
February 28, 2018 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
DeWitt, NY
Past
February 26, 2018 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Dewitt, NY
Past
February 26, 2018 - May 19, 2024
TD AMERITRADE, INC.
BD
CRD#: 7870
DeWitt, NY
Past
August 8, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
March 9, 2010 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
FAYETTEVILLE, NY
Past
April 26, 2006 - February 18, 2010
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
SYRACUSE, NY
Past
January 10, 2006 - March 30, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
EAST SYRACUSE, NY
Past
January 7, 2005 - December 1, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SYRACUSE, NY
Past
January 7, 2005 - December 1, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 17, 2004 - November 15, 2004
TD AMERITRADE, INC.
RIA
CRD#: 7870
SYRACUSE, NY
Past
August 27, 1999 - November 15, 2004
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
RR
Florida(4/15/2025)
IAR
Florida(4/16/2025)
RR
New York(4/1/2025)
IAR
New York(4/8/2025)
RR
Pennsylvania(4/15/2025)
IAR
Pennsylvania(4/15/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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
CITIZENS SECURITIES, INC.
CRD#: 39550Cicero, NY 13039TRUST BUT VERIFY
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