Philip J. Rock
Professional summary
Philip J Rock, who also goes by Philip Joseph Rock III, Philip Joseph Rock, Pj Rock, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 2005. Philip has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip J Rock's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2011 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172May 23, 2008 - November 10, 2009
J.P. MORGAN INVESTMENT MANAGEMENT INC.
January 10, 2008 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
October 9, 2007 - December 20, 2007
BOFA ADVISORS, LLC
October 9, 2007 - December 20, 2007
BOFA DISTRIBUTORS, INC.
June 22, 2006 - November 13, 2007
J.P. MORGAN INVESTMENT MANAGEMENT INC.
January 11, 2005 - October 5, 2007
JPMORGAN DISTRIBUTION SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2011)
(1/3/2011)
Exams
FINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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