Unclaimed
Wesley Alan Rock is a financial advisor with over 20 years of experience in the industry. Wesley is currently registered with Fidelity Brokerage Services LLC and has held previous positions with The Leaders Group, Inc. and Janus Distributors LLC. Wesley holds Series 6, 7, and 63 licenses as well as the SIE exam. Wesley is registered in 53 states and territories including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming.
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.
1
2
CO
08/28/2018 - Present
Fidelity Brokerage Services LLC (GREENWOOD VILLAGE CO)
CO
06/18/2018 - 08/22/2018
THE LEADERS GROUP, INC. (LITTLETON CO)
CO
11/02/1995 - 07/26/2016
JANUS DISTRIBUTORS LLC (DENVER CO)
BC
Issued 11/13/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/1997
Series 7 - General Securities Representative Examination
BC
Issued 10/27/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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