Rockwell Stuart Pearson

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2022-03-21

CO RA
APPROVED

Since 2022-03-21

Branch Locations

Denver, CO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
First Financial Equity Corporation	Denver	CO	01/2009	03/2022
Lpl Financial Llc	Greenwood Village	CO	03/2022	Present

01/2009 → 03/2022

First Financial Equity Corporation

Denver, CO
03/2022 → Present

Lpl Financial Llc

Greenwood Village, CO

Previous Registrations

2009-01-16 → 2022-04-04

Ffec Wealth Partners Llc

Scottsdale, AZ

Greenwood Village, CO
2005-07-25 → 2009-01-22

Ameriprise Advisor Services, Inc.

Denver, CO

Denver, CO
1999-01-01 → 2005-07-27

Morgan Stanley Dw Inc.

Denver, CO

Other Businesses

1)03/03/2022 - Johlfs Financial Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2022

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-07-25

S63 Uniform Securities Agent State Law Examination

1989-07-25

Other Names

Rockwell S Pearson
Rocky Pearson

View on SEC IAPD