Richard E. Rockich
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Eugene Rockich III, who also goes by Richard E Rockich, Richard Rockich, Rick E Rockich III, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2011. Richard had worked at 4 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2014 - November 10, 2017
TRIPOINT GLOBAL EQUITIES/BANQ(R)
December 19, 2013 - January 3, 2018
PARADIGM INVESTMENT ADVISORY LLC
October 4, 2012 - May 1, 2013
SAFEGUARD SECURITIES, INC.
October 4, 2012 - May 1, 2013
SAFEGUARD SECURITIES, INC.
February 17, 2011 - September 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 2011 - September 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
TRIPOINT GLOBAL EQUITIES/BANQ(R)
CRD#: 143174 / SEC#: , 8-67540
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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