John A. Rockeman

MOUNTAIN CAPITAL INVESTMENT ADVISORS

Westminster, CO 80234

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CRD#: 4421138

Professional summary

John Anthony Rockeman II, who also goes by John A. Rockeman II, John A. Rockeman, John A. Rockeman, Jay Rockeman, is a registered financial advisor currently at MOUNTAIN CAPITAL INVESTMENT ADVISORS INC located in Westminster, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John A. Rockeman Ii | John A. Rockeman | John A. Rockeman | Jay Rockeman

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.

FRONTIER AIRLINES; Not investment-related; Denver CO; Aviation; COMMERCIAL PILOT; 2001-present; 50 hrs/month; 25 hrs/month during trading; Flying aircraft.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Anthony Rockeman II'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®

None

Experience

Current

October 9, 2019 - Present

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

Office #1: 12235 Pecos St Suite 100, Westminster, CO 80234

RIA

CRD#: 156660

Westminster, CO

Past

March 15, 2005 - October 26, 2005

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

April 12, 2002 - March 16, 2005

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

October 22, 2001 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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".

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC | MOUNTAIN CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 156660 / SEC#: 801-110107

RIA

Registered Investment Advisory firm - (3/22/2017 Approved)

Colorado

Registered Investment Advisory firm - (4/14/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Colorado
(10/9/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/9/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/19/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC | MOUNTAIN CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 156660 / SEC#: 801-110107

RIA

Registered Investment Advisory firm - (3/22/2017 Approved)

Colorado

Registered Investment Advisory firm - (4/14/2017 Terminated)

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Contact information

Main Address

12235 Pecos St Suite 100, Westminster, CO 80234

Mailing Address

Phone number

(720) 500-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/28/2025)

Regulatory assets under management

Total Number of Accounts	3,239
AUM (Assets Under Management)	$ 744,700,000

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.

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John A. Rockeman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Anthony Rockeman II's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

USALLIANZ SECURITIES, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/2019

Series 63

Date: 3/29/2002

Series 6

Date: 10/19/2001

Current Firm

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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