Unclaimed
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.
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.
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.
1
2
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)
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
Active
Inactive
F
FINRA
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