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SR

Samuel D. Rocke

INTEGRITY CAPITAL
Fort Wayne, IN 46802
Some features on this profile are disabled
CRD#: 5626904
SR

Professional summary

Samuel David Rocke, CFP® is a registered financial professional currently at INTEGRITY CAPITAL, LLC located in Fort Wayne, Indiana.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2009. Samuel has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel David Rocke'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®
CFP®

Certified Financial Planner

Experience

Current

January 31, 2025 - Present

INTEGRITY CAPITAL, LLC

Office #1: 888 S Harrison St., Suite 900, Fort Wayne, IN 46802
BD
CRD#: 285198
Fort Wayne, IN
Past

February 8, 2019 - January 31, 2025

FIRST PALLADIUM, LLC

BD
CRD#: 289822
FORT WAYNE, IN
Past

March 18, 2014 - December 4, 2017

MERCAP SECURITIES, LLC

BD
CRD#: 156607
ATLANTA, GA
Past

May 17, 2011 - May 15, 2012

SMITH FINANCIAL INVESTMENT ADVISORS, INC.

RIA
CRD#: 154022
KOKOMO, IN
Past

August 31, 2010 - May 22, 2012

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
FT WAYNE, IN
Past

August 17, 2009 - September 1, 2010

VALMARK ADVISERS, INC.

RIA
CRD#: 108050
FORT WAYNE, IN
Past

January 9, 2009 - September 1, 2010

VALMARK SECURITIES, INC.

BD
CRD#: 31243
FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(1/31/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/19/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/25/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INTEGRITY CAPITAL, LLC
ANNEXUS SECURITIES, LLC | INTEGRITY CAPITAL, LLC

CRD#: 285198 / SEC#: , 8-69829

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
16767 N. Perimeter Drive Suite 320, Scottsdale, AZ 85260
Mailing Address
16767 N. Perimeter Drive Suite 320, Scottsdale, AZ 85260
Phone number
(480) 321-8992
Established
Delaware since 08/05/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INTEGRITY WEALTH, LLCMEMBER
DENHAM, ERIC TODDPRESIDENT1812039
GILBREATH, WESLEY BLAKECHIEF FINANCIAL OFFICER7294886
GILBREATH, WESLEY BLAKEFINOP7294886
GILBREATH, WESLEY BLAKEPRINCIPAL FINANCIAL OFFICER7294886
LEPORE, KENNETHPRINCIPAL OPERATIONS OFFICER1356913
LEPORE, KENNETHCCO1356913

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

INTEGRITY CAPITAL, LLC

CRD#: 285198Fort Wayne, IN 46802

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