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Peter Clark Rockefeller

Brock Securities LLC

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About Peter Clark Rockefeller

Peter Clark Rockefeller is a financial professional with over 20 years of experience in the securities industry. Peter is currently registered with Brock Securities LLC in New York, New York. Peter's prior experience includes roles with Forbes Private Capital Group, Berkshire Capital Securities LLC, CITICORP INVESTMENT SERVICES, CREDIT SUISSE FIRST BOSTON CORPORATION, and DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION. Peter is a Series 7, Series 24, and Series 63 licensed professional and holds the SIE designation.

Firm Information

Peter Rockefeller is currently registered with Brock Securities LLC. Brock Securities LLC is a Limited Liability Company formed on July 12, 2002. The firm is approved and registered in 17 states and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

4

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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Peter Rockefeller’s Registration & Firm History

NY

04/27/2017 - Present

Brock Securities LLC (NEW YORK NY)

NY

05/21/2012 - 03/27/2014

FORBES PRIVATE CAPITAL GROUP (NEW YORK NY)

NY

08/12/2005 - 04/16/2012

BERKSHIRE CAPITAL SECURITIES LLC (NEW YORK NY)

NY

03/27/2002 - 02/10/2003

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

NY

12/18/2000 - 06/01/2001

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NJ

10/05/1994 - 12/18/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 10/17/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/31/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/11/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter Clark Rockefeller.
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