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Detailed Report
DAVID ROCKEY
DAVID J ROCKEY, david jay rockey
CRD#: 1611075
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 777 108TH AVENUE NE, STE 2060
BELLEVUE, WA 98004
CETERA ADVISORS LLCCRD#: 10299 777 108TH AVENUE NORTH EAST SUITE 2060
BELLEVUE, WA 98004
Registration History
199019952000200520102015202020252 FIRMS2006 - 2007 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2018 - 2022 (4 years)BSCOTTRADE, INC. (CRD# 8206)2007 - 2016 (9 years)BHARRIS INVESTOR SERVICES LLC (CRD# 42159)2002 - 2004 (1 year)BHARRIS INVESTORLINE INC. (CRD# 6362)1989 - 2002 (12 years)BMURPHEY FAVRE, INC. (CRD# 599)1987 - 1988 (1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2018 - 2020 (2 years)
License(s)

State Registrations

IA
Washington 11/12/2020
B
Washington 9/8/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
777 108TH AVENUE NE, STE 2060, BELLEVUE, WA 98004
Registered with this firm since 11/12/2020
B
CETERA ADVISORS LLC (CRD#:10299)
777 108TH AVENUE NORTH EAST SUITE 2060, BELLEVUE, WA 98004
Registered with this firm since 9/8/2022
Previous Registration(s)
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B
 06/19/2018 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) BELLEVUE, WA
IA
 08/06/2018 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) BELLEVUE, WA
B
 04/23/2007 - 07/29/2016 SCOTTRADE, INC. (CRD#:8206) BELLEVUE, WA
IA
 07/21/2006 - 04/20/2007 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) BELLEVUE, WA
B
 01/19/2006 - 04/20/2007 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) BELLEVUE, WA
B
 05/01/2002 - 03/05/2004 HARRIS INVESTOR SERVICES LLC (CRD#:42159) JERSEY CITY, NJ
B
 08/23/1989 - 05/01/2002 HARRIS INVESTORLINE INC. (CRD#:6362) SEATTLE, WA
B
 01/21/1987 - 03/30/1988 MURPHEY FAVRE, INC. (CRD#:599)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.