linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Ernest Arthur Rockey

Tiaa-Cref Individual & Institutional Services, LLC

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

About Ernest Arthur Rockey

Ernest Arthur Rockey is an Investment Advisor Representative with Tiaa-Cref Individual & Institutional Services, LLC, based in Fairfax, Virginia. Ernest has been in the securities industry since July 1993. Ernest has been registered with the state of Virginia and is also registered in Delaware, District of Columbia, Maryland, New York, and Pennsylvania.

Firm Information

Ernest Rockey is currently registered with Tiaa-Cref Individual & Institutional Services, LLC. TIAA-Cref Individual & Institutional Services, LLC is a Limited Liability Company formed in 2004 and headquartered in New York, NY. The firm provides financial planning and portfolio management services for individuals, corporations, charitable organizations, and high-net-worth individuals. They also offer selection of other advisers and participate in wrap fee programs. TIAA-Cref manages over $32 billion in assets for approximately 73,602 clients across the United States.
Tiaa-Cref Individual & Institutional Services, LLC

730 THIRD AVENUE

NEW YORK, NY 10017-3206

$32.68B

Assets Under Management

31,192

Total Clients

2,960

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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.

check

percentage of assets

A percentage of the total value of assets under management is charged.

check

other

Compensation from affiliates

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.

Ernest Rockey’s Registration & Firm History

VA

01/10/2023 - Present

Tiaa-Cref Individual & Institutional Services, LLC (FAIRFAX VA)

VA

04/04/2022 - 12/09/2022

AMERIPRISE FINANCIAL SERVICES, LLC (Leesburg VA)

VA

03/11/1996 - 10/27/2009

CHARLES SCHWAB & CO., INC. (MCLEAN VA)

PA

10/06/1995 - 03/25/1996

THE KNOX FINANCIAL SERVICES GROUP, INC. (PHILADELPHIA PA)

NY

08/21/1991 - 12/13/1994

SMITH BARNEY INC. (NEW YORK NY)

Not sure if Ernest Arthur Rockey is right for you?

Licenses & Designations

BC

Issued 05/20/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 09/05/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/03/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/04/2022

Series 7TO - General Securities Representative Examination

BC

Issued 02/14/2022

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ernest Arthur Rockey.
Not sure if Ernest Arthur Rockey is right for you?