Stephen Rockhill
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 Ithaca, 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen A Rockhill, Stephen Arlington Rockhill, Steve Rockhill, Steve Rockhill
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
27 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
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
Contact Information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02919Mailing Address
200 Station Drive Mws414, Westwood, MA 02090Phone Number
(781) 364-1641Established
Rhode Island since 09/21/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
471SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
60,545AUM (Assets Under Management)
$12,868,719,975Disclosures
Regulatory Event
16Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(4/15/2025)
(4/16/2025)
(4/1/2025)
(4/8/2025)
(7/13/2026)
(7/13/2026)
(4/15/2025)
(4/15/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2002About the Series 9 examSRO Registrations
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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).
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