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Current Employers
East Rock Financial Services, Llc

Burlingame, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2013-12-06
  • CA RA
    APPROVED
    Since 2013-12-06

Branch Locations

Santa Cruz, CA • 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
East Rock Financial Services, Llc San Francisco CA 07/2013 Present
Previous Registrations
  • 2012-05-22 → 2013-09-05
    Cornerstone Advisors Inc
    Bellevue, WA
Other Businesses

CONTIN SEEDS, NOT INVESTMENT-RELATED, 1737 HECKER PASS ROAD, GILROY, CA, 95020; HYBRID SEED DEVELOPMENT; DIRECTOR; APPROX. 2000; 0 HRS/MO; 0 DURING TRADING HRS; BOARD MEMBER ACTIVITIES.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-07-05
  • S63 Uniform Securities Agent State Law Examination
    2001-07-05
Designations

View on SEC IAPD

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