Richard Joseph Rock

Current Employers

Employment History

• 09/2001 → 07/2021
  Citigroup Global Markets Inc.
  Laguna Niguel, CA
• 06/2009 → 07/2021
  Morgan Stanley Smith Barney
  Laguna Niguel, CA
• 01/2015 → 07/2021
  Morgan Stanley Wealth Management
  New York, NY
• 07/2021 → Present
  Balboa Wealth Partners Inc.
  Newport Beach, CA
• 08/2024 → Present
  Willow Cove Investment Group, Inc.
  Newport Beach, CA

Previous Registrations

• 2009-06-01 → 2021-08-05
  Morgan Stanley
  Laguna Niguel, CA
• 2003-03-28 → 2009-06-01
  Citigroup Global Markets Inc.
  Laguna Niguel, CA
  Laguna Niguel, CA

Other Businesses

1. Dad's Liquor and Deli, 2421 S. El Camino Real, San Clemente, CA. 92672. Business is not investment related, Retail sales of food and drink; Employee and general management, my Dad owns the business, start date Jan.1985; Work 30-32 hours per month and none are during market hours. 2. Willow Cove Investment Group, Inc.; 27765 County Land Road, Laguna Niguel, CA 92677; Investment-Related Business; Registered Rep of a Broker Dealer; Being agent of record on existing life insurance and annuity contracts. Prospecting insurance, annuity & DST Real Estate business; Start date 08/2024; work 24 hours per month. 3. FHR Capital, LLC TESLA Chargers; No; 6160 Riverside Dr, , Chino, CA. 91710; Partnership; Partner; Start date 4/30/2026; Spends less than 5% of his time; I will be mainly a passive investor. Essentially the money to fund the project is coming from my parents Peter and Georgette Rock who do not want to have the investment in their name and will be structured as a family loan.

Exams

• S63 Uniform Securities Agent State Law Examination
  2024-07-26
• S65 Uniform Investment Adviser Law Examination
  1996-09-05