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Wesley Alan Rock

Fidelity Brokerage Services LLC

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About Wesley Alan Rock

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.

Firm Information

Wesley Rock is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Wesley Rock’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Wesley Alan Rock.
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