Amy J. Rockman
Professional summary
Amy Jo Rockman, who also goes by Amy Jo Baker, Amy Jo Wiese, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amy Jo Rockman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 6, 2011 - Present
SLD AMERICA EQUITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 6/21/2024
Operations Professional ExaminationFINRA
Current Firm
SLD AMERICA EQUITIES, INC.
CRD#: 36259 / SEC#: , 8-47089
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| ANDERSON, KELLY MARIE | DEPUTY COMPLIANCE OFFICER | 1819119 |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| KILIAN, CONRAD JOHANN | FINANCIAL AND OPERATIONS PRINCIPAL | 6214509 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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