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RC

Rebecca Contin

EAST ROCK FINANCIAL SERVICES
Santa Cruz, CA
Some features on this profile are disabled
CRD#: 4317249
RC

Professional summary

Rebecca Contin, CFP® is a registered financial advisor currently at EAST ROCK FINANCIAL SERVICES, LLC located in Santa Cruz, California.

Rebecca is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Rebecca has worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

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.
CONTIN SEEDS, NOT INVESTMENT-RELATED, 1737 HECKER PASS ROAD, GILROY, CA, 95020; HYBRID SEED DEVELOPMENT; DIRECTOR; APPROX. 2000; 0 HRS/MO; 0 DURING TRADING HRS; BOARD MEMBER ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Contin's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2012

Experience

Current

December 6, 2013 - Present

EAST ROCK FINANCIAL SERVICES, LLC

RIA
CRD#: 147949
Santa Cruz, CA
Past

May 22, 2012 - September 5, 2013

CORNERSTONE ADVISORS INC

RIA
CRD#: 110908
BELLEVUE, WA
Past

June 27, 2001 - January 22, 2009

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
SAN FRANCISCO, CA

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".
ER
EAST ROCK FINANCIAL SERVICES, LLC
EAST ROCK FINANCIAL SERVICES | LEE, STEPHANIE, JEANNE | EAST ROCK FINANCIAL SERVICES, LLC

CRD#: 147949 / SEC#: 801-132755

RIA
Registered Investment Advisory firm - (5/13/2025 Approved)
California
Registered Investment Advisory firm - (11/20/2008 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.

Highlighted states indicate IAR registrations

IAR
California
(12/6/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 7/5/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2001
General Securities Representative Examination

Current Firm

ER
EAST ROCK FINANCIAL SERVICES, LLC
EAST ROCK FINANCIAL SERVICES | LEE, STEPHANIE, JEANNE | EAST ROCK FINANCIAL SERVICES, LLC

CRD#: 147949 / SEC#: 801-132755

RIA
Registered Investment Advisory firm - (5/13/2025 Approved)
California
Registered Investment Advisory firm - (11/20/2008 Approved)
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Contact information

Main Address
Burlingame, CA
Mailing Address
329 Primrose Rd, #117220, Burlingame, CA 94011
Phone number
(415) 779-2008
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/9/2025)

Regulatory assets under management

Total Number of Accounts39
AUM (Assets Under Management)$ 111,383,135

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

EAST ROCK FINANCIAL SERVICES, LLC

CRD#: 147949Santa Cruz, CA

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