Stewart M. Vockel
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.
Stewart Meldred Vockel III, who also goes by Rocky Vockel III, Rocky Vockel, Stewart M Vockel, Stewart Meldred Vockel, was a registered financial professional .
Stewart is a previously registered financial professional and started their career in finance in 1976. Stewart had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2012 - May 3, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 14, 2012 - May 3, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 2007 - September 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 1, 2006 - September 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 28, 2000 - March 17, 2006
UBS FINANCIAL SERVICES INC.
November 4, 1994 - May 8, 2000
CITIGROUP GLOBAL MARKETS INC.
June 25, 1991 - November 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 1987 - February 13, 1991
FIRST CLEARING, LLC
January 8, 1986 - May 18, 1987
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
August 12, 1985 - December 10, 1985
PNC CAPITAL MARKETS LLC
April 29, 1980 - September 20, 1983
THOMSON MCKINNON SECURITIES INC.
March 26, 1979 - March 3, 1980
SIMPSON, EMERY & COMPANY, INC.
April 1, 1976 - June 26, 1980
CUNNINGHAM, SCHMERTZ & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
PC
Date: 1/23/1995
AMEX Put and Call ExamSeries 40
Date: 3/27/1978
Registered Principal ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
