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Nancy Jane Rockoff

Wells Fargo Clearing Services, LLC

Hackensack, NJ

Charlotte, NC

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-22
TX RA APPROVED 2014-08-20
NJ RA APPROVED 2009-04-27
  • NY RA
    APPROVED
    Since 2021-07-22
  • TX RA
    APPROVED
    Since 2014-08-20
  • NJ RA
    APPROVED
    Since 2009-04-27

Branch Locations

1 Johnson Ave, Hackensack, NJ 07601 • United States

6000 Fairview Rd Ste 800, Charlotte, NC 28210 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc New York NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
Previous Registrations
Other Businesses

CO-EXECUTOR OF MOTHER'S ESTATE, INVT RELATED, WEEHWAKEN, NJ, START DATE 1/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-31
S63 Uniform Securities Agent State Law Examination 1993-10-20
  • S66 Uniform Combined State Law Examination
    2008-03-31
  • S63 Uniform Securities Agent State Law Examination
    1993-10-20
Other Names
  • Nancy J Rockoff

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · HACKENSACK, NJ
PARK AVENUE SECURITIES LLC · HACKENSACK, NJ
CETERA INVESTMENT ADVISERS LLC · HACKENSACK, NJ
CITO CAPITAL ADVISORS LLC · HACKENSACK, NJ
LPL FINANCIAL LLC · HACKENSACK, NJ
LPL FINANCIAL LLC · HACKENSACK, NJ
JANNEY MONTGOMERY SCOTT LLC · HACKENSACK, NJ
EMISSARY WEALTH · HACKENSACK, NJ

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