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Lynn Marie Rockwell

THE Leaders Group, Inc.

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About Lynn Marie Rockwell

Lynn Rockwell is a financial professional with over 23 years of experience in the industry. Lynn has a strong background in securities, having worked with several firms including Securities America, Inc., TFS Securities, Inc., and Linsco/Private Ledger Corp. Lynn is currently registered with The Leaders Group, Inc. and has passed the Series 63, SIE, and Series 7 exams. Lynn is registered in seven states, including Connecticut, Delaware, Florida, New Jersey, New York, North Carolina, and Pennsylvania.

Firm Information

Lynn Rockwell is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

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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Lynn Rockwell’s Registration & Firm History

CO

05/15/2023 - Present

THE Leaders Group, Inc. (LITTLETON CO)

NJ

01/06/2023 - 02/23/2023

SECURITIES AMERICA, INC. (MOUNT LAUREL NJ)

NJ

07/26/2005 - 12/31/2022

TFS SECURITIES, INC. (LAUREL SPRINGS NJ)

SC

05/21/2004 - 07/12/2005

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

MA

04/14/2003 - 12/10/2003

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

04/14/2003 - 12/10/2003

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

TX

07/18/2001 - 02/04/2003

H.D. VEST INVESTMENT SERVICES (DALLAS TX)

TX

06/05/1998 - 04/12/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

05/13/1998 - 05/22/1998

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/09/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/03/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lynn Marie Rockwell.
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