Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip J Rock is a financial advisor with over 15 years of experience in the industry. Philip is currently registered with J.p. Morgan Institutional Investments Inc. in New York, NY. Previously, Philip has also worked with JPMorgan Distribution Services, Inc. and Columbia Management Distributors, Inc. Philip holds Series 6, 7, 63, 65 and SIE licenses. Philip is registered in Kentucky and Tennessee.
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.
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2
NY
01/03/2011 - Present
J.p. Morgan Institutional Investments Inc. (New York NY)
OH
01/10/2008 - 01/03/2011
JPMORGAN DISTRIBUTION SERVICES, INC. (COLUMBUS OH)
MA
10/09/2007 - 12/20/2007
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)
OH
01/11/2005 - 10/05/2007
JPMORGAN DISTRIBUTION SERVICES, INC. (COLUMBUS OH)
IA
Issued 08/07/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2007
Series 7 - General Securities Representative Examination
BC
Issued 01/10/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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