Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rachel? Claim Your ProfileRachel Rocknean is an experienced financial professional with over 14 years in the industry. Currently registered with Stifel, Nicolaus & Company, Inc., Rachel holds Series 24, SIE, Series 62, and Series 16 licenses, demonstrating her commitment to providing comprehensive financial guidance. Before joining Stifel, Nicolaus & Company, Inc., Rachel held positions at several reputable firms, including Berenberg Capital Markets LLC, HSBC Securities (USA) Inc., ABG Sundal Collier Inc., and Dresdner Kleinwort Securities LLC.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MD
08/17/2023 - Present
Stifel, Nicolaus & Company, Inc. (BALTIMORE MD)
NY
06/20/2017 - 01/23/2023
BERENBERG CAPITAL MARKETS LLC (NEW YORK NY)
NY
11/13/2015 - 06/09/2017
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
07/30/2009 - 10/05/2015
ABG SUNDAL COLLIER INC. (NEW YORK NY)
NY
08/06/2007 - 01/02/2008
DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)
BC
Issued 11/20/2018
Series 24 - General Securities Principal Examination
BC
Issued 08/17/2023
Series 99TO - Operations Professional Examination
BC
Issued 08/17/2023
SIE - Securities Industry Essentials Examination
BC
Issued 07/05/2018
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 07/26/2007
Series 16 - NYSE Supervisory Analyst Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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