Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchell? Claim Your ProfileMitchell Rock is a financial advisor with over 30 years of experience in the financial services industry. Mitchell has worked with a number of firms, including UBS Financial Services, Merrill Lynch, Lehman Brothers, E.F. Hutton and most recently Morgan Stanley. Currently, Mitchell is a Registered Representative and Investment Advisor Representative with Ameriprise Financial Services, LLC. Mitchell is licensed to provide investment advice in Alabama, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Maryland, Massachusetts, Missouri, Nevada, New Jersey, New York, Pennsylvania, Texas, and Virginia.
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.
Asset allocation services
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
NY
12/04/2020 - Present
Ameriprise Financial Services, LLC (NEW YORK NY)
NY
08/29/2016 - 12/07/2020
WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)
NY
06/01/2009 - 09/02/2016
MORGAN STANLEY (NEW YORK NY)
NY
08/08/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
08/15/2000 - 08/21/2008
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
01/19/1993 - 08/30/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
03/05/1992 - 12/18/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/08/1991 - 12/31/1991
DUBIN & SWIECA SECURITIES, INC. (NEW YORK NY)
NY
05/14/1988 - 02/27/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/23/1986 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 09/14/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1989
Series 3 - National Commodity Futures Examination
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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