David Rockey is a registered investment advisor, based in Edmonds, WA, with 34 years of industry experience.
Location
123 2nd Ave S, Suite 230, Edmonds, WA, 98020
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 10 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 8 mos
Previous Registrations
First Allied Advisory Services, INC.
August 2018 - November 2020 · 2 yrs 3 mos
First Allied Securities, INC.Broker
June 2018 - September 2022 · 4 yrs 3 mos
Scottrade, INC.Broker
April 2007 - July 2016 · 9 yrs 3 mos
Hornor, Townsend & Kent, INC.
July 2006 - April 2007 · 9 mos
Hornor, Townsend & Kent, INC.Broker
January 2006 - April 2007 · 1 yr 3 mos
Harris Investor Services LLCBroker
May 2002 - March 2004 · 1 yr 10 mos
Harris Investorline INC.Broker
August 1989 - May 2002 · 12 yrs 9 mos
Murphey Favre, INC.Broker
January 1987 - March 1988 · 1 yr 2 mos
State Registrations1 state
WA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.