Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocque? Claim Your ProfileRocque E Lipford is a financial advisor with over 24 years of experience in the industry. Rocque has a strong track record of success in the financial services industry, having previously worked at J.P. Morgan Securities LLC, J.P. Morgan Securities Inc., Goldman, Sachs & Co. and Lehman Brothers Inc. Rocque holds a Series 7, Series 10, Series 24, Series 63 and Series 79TO license. Rocque is currently registered with Guggenheim Securities, LLC in Illinois.
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
IL
03/04/2023 - Present
Guggenheim Securities, LLC (CHICAGO IL)
IL
10/01/2008 - 03/04/2023
J.P. MORGAN SECURITIES LLC (CHICAGO IL)
IL
06/14/2004 - 10/01/2008
J.P. MORGAN SECURITIES INC. (CHICAGO IL)
NY
04/18/2000 - 12/02/2003
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
01/01/1998 - 04/05/2000
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 07/26/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/01/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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