Thomas Steven Rockwell Jr
Professional Summary
Thomas Steven Rockwell JR, who also goes by Steven Rockwell, Thomas Steve Rockwell, Thomas Steven Rockwell, Thomas Steven Rockwell Jr, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 2005 - 2021. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steven Rockwell, Thomas Steve Rockwell, Thomas Steven Rockwell, Thomas Steven Rockwell Jr
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
ALFRED B. BRADY III | THOMAS E. SAMUELS JR. | SURESH RAGHAVAN | STAVIS MARGOLIS ADVISORY SERVICES INC | ROY T. MANICOM | RICHARD SAETTONE | PNC MANAGED ACCOUNT SOLUTIONS, INC. | MICHAEL SANDEEN | MARY K. MARGOLIS | GERRALD GIBLIN | GAIL VAN NEST | FRANK POHAR | EDWIN TREY MAXWELL | DEBORAH MCCULLY STAVIS | DAVID BUSBEE | CLAYTON COOKE | BBVA WEALTH SOLUTIONS INC.
Contact Information
Main Address
2200 Post Oak Blvd., Houston, TX 77056-4700Mailing Address
1900 East Ninth Street, Cleveland, OH 44114Phone Number
(800) 762-6111# of Employees
21Regulatory Assets Under Management
Total Number of Accounts
768AUM (Assets Under Management)
$588,442,024Similar Advisors
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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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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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