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Christopher James Rockers

Kpmg Corporate Finance LLC

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About Christopher James Rockers

Christopher James Rockers is a financial advisor at KPMG Corporate Finance LLC. Christopher has been in the financial services industry since October 8, 2007. Christopher holds a Series 63 license as well as the following FINRA licenses: Series 7, Series 6, Series 24, Series 27, Series 55, Series 79 and the SIE. Christopher is registered in 38 states as well as with FINRA. Christopher has previously worked with D.A. DAVIDSON & CO., ALPINA CAPITAL, LLC, FALKENBERG CAPITAL CORPORATION and PRESIDENTIAL BROKERAGE, INC.

Firm Information

Christopher Rockers is currently registered with Kpmg Corporate Finance LLC. Kpmg Corporate Finance LLC is a Limited Liability Company formed in February 2000. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It is also registered with the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

53

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.

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Christopher Rockers’s Registration & Firm History

CO

02/14/2022 - Present

Kpmg Corporate Finance LLC (Denver CO)

CO

09/22/2015 - 02/08/2022

D.A. DAVIDSON & CO. (DENVER CO)

CO

08/06/2014 - 09/30/2015

ALPINA CAPITAL, LLC (DENVER CO)

CO

07/21/2000 - 06/11/2004

FALKENBERG CAPITAL CORPORATION (DENVER CO)

TX

07/17/1998 - 05/10/1999

PRESIDENTIAL BROKERAGE, INC. (AUSTIN TX)

TX

07/17/1996 - 12/31/1997

PRESIDENTIAL BROKERAGE, INC. (AUSTIN TX)

CO

08/22/1995 - 04/22/1996

JANUS DISTRIBUTORS, INC. (DENVER CO)

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Licenses & Designations

BC

Issued 02/18/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/03/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/31/2001

Series 27 - Financial and Operations Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/10/2015

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 08/05/2014

Series 7 - General Securities Representative Examination

BC

Issued 02/19/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/21/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Christopher James Rockers.
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