Amy Jo Rockman
Professional Summary
Amy Jo Rockman, who also goes by Amy Jo Baker, Amy Jo Wiese, is a registered financial advisor currently at SLD AMERICA EQUITIES, INC. located in North Oaks, Minnesota. Amy is registered as a RR (Registered Representative) and started their career in finance in 2011. Amy has worked at 1 firm and has passed the Series 99TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Amy Jo Baker, Amy Jo Wiese
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
ING AMERICA EQUITIES, INC. | VOYA AMERICA EQUITIES, INC. | SLD AMERICA EQUITIES, INC.
Contact Information
Main Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380Mailing Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380Phone Number
(763) 342-9429Established
Colorado since 09/27/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | — |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| JUSINO, LINH D | FINANCIAL AND OPERATIONS PRINCIPAL | 8313119 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
Regulatory Event
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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.
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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.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2011About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2018About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Amy Jo Rockman's CRS (Customer Relationship Summary).
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