Dennis Dean Rockhold

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → Present
  Raymond James Financial Services Advisors, Inc
  Lima, OH

Previous Registrations

• 2000-05-11 → 2004-04-26
  Msi Financial Services, Inc.
  Lima, OH

Other Businesses

(1) Name of Business: Address: 410 S Cable Rd, Lima, OH, 45805-3112, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 02/28/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Sales and servicing of fixed life insurance policies and sales of new life policies from Pan American Life Insurance Company (2) Name of Business: Individual, group health insurance non variable Address: 410 S Cable Rd, Lima, OH, 45805, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 11/14/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Selling and servicing individual and group health insurance policies. (3) Name of Business: JED Serenity LLC Address: 4625 Wenatchie Trail, Lima, OH, 45805, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 02/24/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: A real estate rental company where my wife and daughter are the sole partners with me. All in the family. (4) Name of Business: NA Address: 410 South Cable Road, Suite C Lima, Ohio 45805, Lima, OH, 45805, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 12/18/2011 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Agent duties of Life Insurance Sales (5) Name of Business: NA Address: 410 South Cable Road , lima, OH, 45805, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 07/17/2011 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Life and disability insurance agent (6) Name of Business: Rockhold Wentling & Neth Financial Advisors Address: 410 South Cable Road , Lima, OH, 45805, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 01/01/2006 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of support company name all as per Raymond James. (7) Name of Business: Rockhold Wentling Financial Advisors Address: 410 S Cable Rd, Lima, OH, 45805-3112, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 01/01/2006 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Support company DBA only

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-08-12
• S63 Uniform Securities Agent State Law Examination
  2007-08-10

Other Names

• Dennis Dean Rockhold