Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Joseph Rock is an investment advisor representative with Balboa Wealth Partners, Inc. Richard has been in the industry since 1996 and holds the Series 7, Series 31, Series 65, Series 63, and SIE licenses. Richard's prior experience includes roles at Morgan Stanley, Citigroup Global Markets Inc., and Morgan Stanley DW Inc. Richard has also worked in the retail sector. Richard works with individuals and pension and profit-sharing plans. Richard focuses on providing financial planning, pension consulting, and selection of other advisors. Richard has a branch office in Scottsdale, Arizona.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
AZ
08/21/2024 - Present
Balboa Wealth Partners, Inc. (SCOTTSDALE AZ)
CA
06/01/2009 - 08/05/2021
MORGAN STANLEY (Laguna Niguel CA)
CA
09/10/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LAGUNA NIGUEL CA)
NY
08/28/1996 - 09/10/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 07/26/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/05/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 08/19/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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