JR
John D. Rock
MATHESON & ROCK WEALTH MANAGEMENT
Davenport, IA 52807
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CRD#: 6649818
JR
Professional summary
John David Rock is a registered financial advisor currently at MATHESON & ROCK WEALTH MANAGEMENT, LLC located in Davenport, Iowa and PRIVATE CLIENT SERVICES, LLC located in Davenport, Iowa.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. John has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
PRS 2322, LLC; Not Investment Related; Davenport, IA; Real Estate Owner; 12/2022; 1/MO; 0/MO; Bookkeeping related to building ownership. Private Client Services, LLC dba Matheson & Rock Investments, LLC; Investment Related; Davenport, IA; broker-dealer; Registered Representative; 11/2017; Approximately 10 hours/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John David Rock'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®
NoneExperience
Current
April 5, 2018 - Present
MATHESON & ROCK WEALTH MANAGEMENT, LLC
Office #1: 2322 E. Kimberly Road, Suite 150n, Davenport, IA 52807RIA
CRD#: 289603
Davenport, IA
Current
November 1, 2017 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 2322 East Kimberly Road Ste 150n, Davenport, IA 52807RIA
BD
CRD#: 120222
Davenport, IA
Past
August 19, 2016 - November 20, 2017
DETALUS ADVISORS, LLC
RIA
CRD#: 117958
Davenport, IA
Past
May 17, 2016 - November 20, 2017
DETALUS SECURITIES, LLC
BD
CRD#: 103260
DAVENPORT, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
M&
MATHESON & ROCK WEALTH MANAGEMENT, LLC
BEYER & ROCK ADVISORY GROUP, LLC | MATHESON & ROCK WEALTH MANAGEMENT, LLC
CRD#: 289603 / SEC#: 801-114867
RIA
Registered Investment Advisory firm - (3/25/2019 Approved)Illinois
Registered Investment Advisory firm - (3/25/2019 Terminated)Iowa
Registered Investment Advisory firm - (4/22/2019 Terminated)Texas
Registered Investment Advisory firm - (4/18/2019 Terminated)Wisconsin
Registered Investment Advisory firm - (4/18/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(12/22/2021)
RR
California(8/9/2022)
RR
Colorado(8/10/2022)
RR
Florida(12/6/2021)
RR
Georgia(8/10/2022)
RR
Illinois(11/1/2017)
RR
Iowa(11/3/2017)
IAR
Iowa(4/5/2018)
RR
Wisconsin(8/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
M&
MATHESON & ROCK WEALTH MANAGEMENT, LLC
BEYER & ROCK ADVISORY GROUP, LLC | MATHESON & ROCK WEALTH MANAGEMENT, LLC
CRD#: 289603 / SEC#: 801-114867
RIA
Registered Investment Advisory firm - (3/25/2019 Approved)Illinois
Registered Investment Advisory firm - (3/25/2019 Terminated)Iowa
Registered Investment Advisory firm - (4/22/2019 Terminated)Texas
Registered Investment Advisory firm - (4/18/2019 Terminated)Wisconsin
Registered Investment Advisory firm - (4/18/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2322 E. Kimberly Road, Suite 150n, Davenport, IA 52807
Mailing Address
Phone number
(800) 682-3937
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,022 |
| AUM (Assets Under Management) | $ 435,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MATHESON & ROCK WEALTH MANAGEMENT, LLC
CRD#: 289603Davenport, IA 52807TRUST BUT VERIFY
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