Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Rockhill is a financial advisor with Charles Schwab & CO., Inc. Stephen has been in the financial services industry since 1999. Stephen has a wide range of experience in the industry, having previously worked at TD Ameritrade, Inc., Scottrade, Inc., Key Investment Services LLC, Northwestern Mutual Investment Services, LLC, Morgan Stanley DW Inc., and TD Waterhouse Investor Services, Inc. Stephen is registered to provide investment advice in several states. Stephen specializes in providing financial planning advice to individuals. Stephen is a licensed Series 7, 9, 10, 31, 63, and 66 general securities representative.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NY
01/26/2022 - Present
Charles Schwab & CO., Inc. (Dewitt NY)
NY
02/26/2018 - 05/19/2024
TD AMERITRADE, INC. (DeWitt NY)
NY
03/09/2010 - 02/26/2018
SCOTTRADE, INC. (FAYETTEVILLE NY)
NY
04/26/2006 - 02/18/2010
KEY INVESTMENT SERVICES LLC (SYRACUSE NY)
NY
01/10/2006 - 03/30/2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (EAST SYRACUSE NY)
NY
01/07/2005 - 12/01/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NE
08/27/1999 - 11/15/2004
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 06/13/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/06/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/25/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/26/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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