Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Rooker is a financial advisor currently working with Morgan Stanley. Kevin has been in the industry since July 30, 1983 and has been registered with the state of Texas since January 2, 2015. Previously, Kevin worked with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, LPL FINANCIAL LLC, H&R BLOCK FINANCIAL ADVISORS, INC., BANC ONE SECURITIES CORPORATION, CHASE INVESTMENT SERVICES CORP., WACHOVIA SECURITIES, LLC, and PRUDENTIAL SECURITIES INCORPORATED.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
01/02/2015 - Present
Morgan Stanley (Dallas TX)
TX
05/02/2011 - 01/05/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
01/30/2009 - 05/06/2011
LPL FINANCIAL LLC (DALLAS TX)
MO
01/12/2006 - 02/21/2008
H&R BLOCK FINANCIAL ADVISORS, INC. (KANSAS CITY MO)
IL
08/19/2004 - 03/16/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
08/04/2003 - 03/14/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
MO
07/01/2003 - 07/31/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
12/12/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/22/1981 - 01/23/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/15/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/30/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/07/1993
Series 24 - General Securities Principal Examination
BC
Issued 08/06/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1987
Series 3 - National Commodity Futures Examination
BC
Issued 05/14/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 10/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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