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Richard Rock
29 Years of Experience
Laguna Niguel, CA
1 DisclosureBrokerSells Insurance
Richard Rock is a registered investment advisor, based in Laguna Niguel, CA, with 29 years of industry experience.
Location
Laguna Niguel, CA
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Regulatory History (1)
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Employment Separation After Allegations
July 2021Other Business ActivitiesSells Insurance
Richard is involved in two outside business activities. He assists with employee and general management at Dad's Liquor and Deli, taking about 10-20% of his time, and is a registered representative at Willow Cove Investment Group, where he works on insurance, annuity, and DST real estate business, also taking about 10-20% of his time.
Employment History
Current Registrations
Willow Cove Investment Group, INC.Broker
June 2024 - Present · 1 yr 11 mos
Willow Cove Investment Group, INC.
June 2024 - Present · 1 yr 11 mos
Balboa Wealth Partners, INC.
August 2021 - Present · 4 yrs 9 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - August 2021 · 12 yrs 2 mos
Morgan Stanley
June 2009 - August 2021 · 12 yrs 2 mos
Citigroup Global Markets INC.
March 2003 - June 2009 · 6 yrs 3 mos
Citigroup Global Markets INC.Broker
September 2001 - June 2009 · 7 yrs 9 mos
Morgan Stanley Dw INC.Broker
August 1996 - September 2001 · 5 yrs 1 mo
State Registrations2 states
CATX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.