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RF

Rocky J. Foster

ALLY INVEST SECURITIES LLC
Keller, TX
Some features on this profile are disabled
CRD#: 5659058
RF

Professional summary

Rocky James Foster, who also goes by Rocky Foster, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Keller, Texas.

Rocky is registered as a RR (Registered Representative) and started their career in finance in 2013. Rocky has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rocky Foster

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 Rocky James Foster'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

November 3, 2021 - Present

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
Keller, TX
Past

July 19, 2018 - September 16, 2021

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
Southlake, TX
Past

April 15, 2013 - July 24, 2018

TD AMERITRADE, INC.

BD
CRD#: 7870
Southlake, TX
Past

March 11, 2013 - April 15, 2013

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX

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
Alabama
(11/3/2021)
RR
Alaska
(11/3/2021)
RR
Arizona
(11/3/2021)
RR
Arkansas
(11/3/2021)
RR
California
(11/3/2021)
RR
Colorado
(11/3/2021)
RR
Connecticut
(11/3/2021)
RR
Delaware
(11/3/2021)
RR
District of Columbia
(11/3/2021)
RR
Florida
(11/3/2021)
RR
Georgia
(11/3/2021)
RR
Hawaii
(11/3/2021)
RR
Idaho
(11/3/2021)
RR
Illinois
(11/3/2021)
RR
Indiana
(11/3/2021)
RR
Iowa
(11/3/2021)
RR
Kansas
(11/3/2021)
RR
Kentucky
(11/3/2021)
RR
Louisiana
(11/3/2021)
RR
Maine
(11/3/2021)
RR
Maryland
(11/3/2021)
RR
Massachusetts
(11/3/2021)
RR
Michigan
(11/3/2021)
RR
Minnesota
(11/3/2021)
RR
Mississippi
(11/3/2021)
RR
Missouri
(11/3/2021)
RR
Montana
(11/4/2021)
RR
Nebraska
(11/3/2021)
RR
Nevada
(11/3/2021)
RR
New Hampshire
(11/3/2021)
RR
New Jersey
(11/3/2021)
RR
New Mexico
(11/3/2021)
RR
New York
(11/3/2021)
RR
North Carolina
(11/3/2021)
RR
North Dakota
(11/3/2021)
RR
Ohio
(11/4/2021)
RR
Oklahoma
(11/3/2021)
RR
Oregon
(11/3/2021)
RR
Pennsylvania
(11/3/2021)
RR
Puerto Rico
(11/3/2021)
RR
Rhode Island
(11/3/2021)
RR
South Carolina
(11/3/2021)
RR
South Dakota
(11/3/2021)
RR
Tennessee
(11/3/2021)
RR
Texas
(11/3/2021)
RR
Utah
(11/3/2021)
RR
Vermont
(11/3/2021)
RR
Virginia
(11/3/2021)
RR
Washington
(11/3/2021)
RR
West Virginia
(11/3/2021)
RR
Wisconsin
(11/3/2021)
RR
Wyoming
(11/3/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/1/2013
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 7
Date: 3/10/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/13/2015
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/16/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.

CRD#: 136131 / SEC#: , 8-66982

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

Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLY INVEST GROUP INC.OWNER
LIETKE, FRANK GREGORYPRESIDENT6900716
MARTIN, ALEX MICHAELPRINCIPAL FINANCIAL OFFICER5639666
POWELL, BENJAMIN TRACYPRINCIPAL OPERATIONS OFFICER2438200
SYKES, ROBERT CHRISTOPHERCHIEF COMPLIANCE OFFICER2775993

Disclosures

Regulatory Event2
Arbitration1

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

ALLY INVEST SECURITIES LLC

CRD#: 136131Keller, TX

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