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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 Rockey is a registered investment advisor representative with Cetera Investment Advisers LLC. David has been in the securities industry since March 19, 1992. David has a wide range of experience working with individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations. Cetera Investment Advisers LLC is a firm based in Schaumburg, Illinois that manages over $104 billion in assets. Cetera Investment Advisers LLC provides a range of services including financial planning, pension consulting, and portfolio management.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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
WA
11/12/2020 - Present
Cetera Investment Advisers LLC (BELLEVUE WA)
WA
06/19/2018 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (BELLEVUE WA)
WA
04/23/2007 - 07/29/2016
SCOTTRADE, INC. (BELLEVUE WA)
WA
01/19/2006 - 04/20/2007
HORNOR, TOWNSEND & KENT, INC. (BELLEVUE WA)
NJ
05/01/2002 - 03/05/2004
HARRIS INVESTOR SERVICES LLC (JERSEY CITY NJ)
WA
08/23/1989 - 05/01/2002
HARRIS INVESTORLINE INC. (SEATTLE WA)
NA
01/21/1987 - 03/30/1988
MURPHEY FAVRE, INC.
BOTH
Issued 7/11/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/25/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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