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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Shrewsbury | NJ | 06/2015 | 10/2017 |
| Wells Fargo Clearing Services, Llc | Oakhurst | NJ | 06/2019 | 03/2021 |
| Wells Fargo Bank, Na | Oakhurst | NJ | 06/2019 | 03/2021 |
| Aaa Mid-Atlantic | Eatontown | NJ | 04/2018 | 06/2019 |
| Auto Lenders | Toms River | NJ | 10/2017 | 04/2018 |
| Rockdale Financial Services | Eatontown | NJ | 03/2021 | Present |
| Cetera Advisors Llc | St. Cloud | MN | 03/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
NAME OF OTHER BUSINESS: ROCKDALE FINANCIAL SERVICES, LLC.CRD# 128829 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 03/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE ROLE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-20 |
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