Randolph Rocks, financial advisor Jensen Beach FL
96 score

Randolph Rocks

CRD Number: 1098888
Current Firm: Independent Financial Partners

Randolph Rocks (CRD# 1098888) is an Investment Advisor Representative working at Independent Financial Partners in Jensen Beach, FL and has over 21 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Independent Financial Partners Jensen Beach, FL Apr 2016 - Current 2
Lpl Financial LLC Jensen Beach, FL Apr 2016 - Current 2
Rocks Financial Group, Inc. Jensen Beach, FL Oct 2006 - Current 11
Mml Investors Services, Inc. Stuart, FL Apr 2009 - Apr 2016 7
Massmutual Life Insurance Comapny Stuart, FL Jan 2009 - Apr 2016 7
Securities America, Inc. Boca Raton, FL Feb 2007 - Apr 2009 2
Securities America Advisors Inc. Boca Raton, FL Feb 2006 - Apr 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1997
S65 NASAA Investment Advisors Law Examination Jun 1999
Contact Info for Randolph C. Rocks
Phone Number: 813-341-0960
Registered State(s):
  • FL
  • NJ
  • RI
  • TX
By the Numbers
  • Total Assets Under Management
    5,298
    MILLIONS
  • Total Number of Accounts
    30,260
    ACCOUNTS
  • Average Account Value
    $175,078
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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