linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Christine Marie Rocke

Barclays Capital Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Christine? Claim Your Profile

About Christine Marie Rocke

Christine Marie Rocke is a registered representative with Barclays Capital Inc. She is a veteran of the financial industry, having been in the business since 1996. She has held positions at several firms, including MF Global Inc., FIMAT USA, LLC, and Citigroup Global Markets Inc. Christine is licensed to sell securities in the state of New York. She holds the Series 3, 7, and 63 licenses. Christine is dedicated to providing her clients with the best possible service and helping them achieve their financial goals.

Firm Information

Christine Rocke is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Christine Rocke’s Registration & Firm History

NY

09/13/2013 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

01/10/2008 - 12/12/2011

MF GLOBAL INC. (NEW YORK NY)

NY

06/14/2004 - 12/03/2007

FIMAT USA, LLC (NEW YORK NY)

NY

09/15/1994 - 06/11/2004

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

Not sure if Christine Marie Rocke is right for you?

Licenses & Designations

BC

Issued 09/29/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/1994

Series 7 - General Securities Representative Examination

BC

Issued 02/19/1992

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Christine Marie Rocke.
Not sure if Christine Marie Rocke is right for you?