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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Joshua Rockman is a financial advisor with over 30 years of experience in the industry. David has held advisory roles with ON Investment Management Co. since 2003 and Embarcadero Financial Group since 2007. David is also a registered representative for both of these firms. He is registered in 32 states for Broker-Dealer activities and in 7 states for Investment Advisor activities. He holds the following licenses: Series 6, Series 7, Series 24, Series 63, and Series 66. David focuses on providing financial planning and portfolio management services to a variety of clients including high-net-worth individuals, corporations, and retirement plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Morningstar investment services llc, sei, assetmark, brinker capital, bny mellon advisors, inc, symmetry partners, envestnet
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
03/30/2023 - Present
ON Investment Management Co. (SAN FRANCISCO CA)
NY
06/21/1995 - 11/01/2002
NEW ENGLAND SECURITIES (NEW YORK NY)
WI
08/17/1993 - 06/13/1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)
WI
08/17/1993 - 06/13/1995
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 06/18/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/15/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2002
Series 7 - General Securities Representative Examination
BC
Issued 08/16/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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