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Thomas Kealy Rockel

Raymond James & Associates, Inc.

Woodland Hills, CA

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-01-13
CA RA APPROVED 2020-04-30
  • TX RA
    APPROVED
    Since 2023-01-13
  • CA RA
    APPROVED
    Since 2020-04-30

Branch Locations

6320 Canoga Ave Suite 900, Woodland Hills, CA 91367 • 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
Ubs Financial Services Encino CA 10/2016 04/2020
Unemployed Los Angeles CA 08/2016 09/2016
Raymond James And Associates, Inc Woodland Hills CA 04/2020 Present
  • 10/2016 → 04/2020
    Ubs Financial Services
    Encino, CA
  • 08/2016 → 09/2016
    Unemployed
    Los Angeles, CA
  • 04/2020 → Present
    Raymond James And Associates, Inc
    Woodland Hills, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-10
  • S66 Uniform Combined State Law Examination
    2017-07-10
Other Names
  • Thomas Kealy Rockel
  • Thomas K Rockel

View on SEC IAPD

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VENTURA ADVISORS · WOODLAND HILLS, CA
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LINCOLN INVESTMENT · WOODLAND HILLS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Woodland Hills, CA
CITIGROUP GLOBAL MARKETS INC. · Woodland Hills, CA
CHELSEA MANAGEMENT COMPANY · WOODLAND HILLS, CA

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