Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Rocke is a financial advisor with Fidelity Personal and Workplace Advisors. Richard has over 10 years of experience in the financial services industry. Richard is registered to provide investment advice in 52 states. Richard has earned the Certified Financial Planner and Chartered Financial Analyst designations. Richard specializes in providing financial planning, portfolio management for businesses and individuals, and educational seminars. Richard previously worked at NYLIFE Securities LLC, MML Investors Services, LLC, MSI Financial Services, Inc., Cetera Advisor Networks LLC, LPL Financial LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
UT
12/13/2021 - Present
Fidelity Personal AND Workplace Advisors (SALT LAKE CITY UT)
CA
04/28/2021 - 10/26/2021
NYLIFE SECURITIES LLC (SAN FRANCISCO CA)
CA
03/25/2017 - 02/02/2021
MML INVESTORS SERVICES, LLC (WALNUT CREEK CA)
CA
12/08/2015 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (WALNUT CREEK CA)
CA
03/25/2014 - 05/01/2015
CETERA ADVISOR NETWORKS LLC (LAFAYETTE CA)
CA
08/29/2013 - 03/17/2014
LPL FINANCIAL LLC (PALO ALTO CA)
CA
10/19/2010 - 09/03/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HALF MOON BAY CA)
BOTH
Issued 11/12/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
Not sure Richard Rocke is the right advisor for you? Invested Better is here to help.
