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RS

Rockford Stites

ROCKFORD GROUP INVESTMENT ADVISOR
Carmel, IN 46032
Some features on this profile are disabled
CRD#: 4429330
RS

Professional summary

Rockford Stites, who also goes by Rockford Von Stites, is a registered financial advisor currently at ROCKFORD GROUP INVESTMENT ADVISOR located in Carmel, Indiana.

Rockford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Rockford has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rockford Von Stites

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rockford Stites'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®
None

Experience

Current

January 9, 2026 - Present

ROCKFORD GROUP INVESTMENT ADVISOR

Office #1: 303 Congressional Blvd 2nd Floor, Carmel, IN 46032
RIA
CRD#: 317946
Carmel, IN
Past

February 10, 2022 - September 12, 2022

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

February 8, 2022 - December 31, 2025

ROCKFORD GROUP INVESTMENT ADVISOR

RIA
CRD#: 317946
CARMEL, IN
Past

July 25, 2018 - February 9, 2022

PFS INVESTMENTS INC.

RIA
CRD#: 10111
FORTVILLE, IN
Past

February 6, 2014 - February 9, 2022

PFS INVESTMENTS INC.

BD
CRD#: 10111
FORTVILLE, IN

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
Indiana
(1/9/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/6/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/7/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/6/2014
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/24/2014
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RG
ROCKFORD GROUP INVESTMENT ADVISOR
ROCKFORD GROUP INVESTMENT ADVISOR | ROCKFORD GROUP LLC

CRD#: 317946 / SEC#:

Indiana
Registered Investment Advisory firm - (1/9/2026 Approved)
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Contact information

Main Address
303 Congressional Blvd 2nd Floor, Carmel, IN 46032
Mailing Address
Phone number
(317) 689-7491
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts58
AUM (Assets Under Management)$ 3,600,000

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.

Company Information

ROCKFORD GROUP INVESTMENT ADVISOR

CRD#: 317946Carmel, IN 46032

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