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Detailed Report
Ernest Arthur Rockey Jr.
ERNEST A ROCKEY JR, ERNEST ARTHUR ROCKEY JR, ERNEST ARTHUR ROCKEY, Ernest A Rockey
CRD#: 2159405
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 3050 CHAIN BRIDGE ROAD
SUITE 400
FAIRFAX, VA 22030
Registration History
19952000200520102015202020252 FIRMS2022 - 2022 (<1 year)2 FIRMS2023 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1996 - 2009 (13 years)BTHE KNOX FINANCIAL SERVICES GR... (CRD# 19674)1995 - 1996 (<1 year)BSMITH BARNEY INC. (CRD# 7059)1991 - 1994 (3 years)IACHESAPEAKE FINANCIAL ADVISORY (CRD# 304897)2019 - 2022 (2 years)IAOLD DOMINION CAPITAL MANAGEMEN... (CRD# 105244)2009 - 2019 (9 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)1997 - 2009 (11 years)
License(s)

State Registrations

B
Delaware 1/10/2023
B
Pennsylvania 1/10/2023
B
District of Columbia 1/10/2023
B
Virginia 1/10/2023
B
Maryland 1/10/2023
IA
Virginia 1/10/2023
B
New York 9/18/2023

SRO Registrations

B
 FINRA

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Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
3050 CHAIN BRIDGE ROAD SUITE 400, FAIRFAX, VA 22030
Arlington, VA
Registered with this firm since 1/10/2023
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
3050 CHAIN BRIDGE ROAD SUITE 400, FAIRFAX, VA 22030
Arlington, VA
Registered with this firm since 1/10/2023
Previous Registration(s)
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IA
 02/04/2022 - 12/09/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Leesburg, VA
B
 04/04/2022 - 12/09/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Leesburg, VA
IA
 12/12/2019 - 01/19/2022 CHESAPEAKE FINANCIAL ADVISORY (CRD#:304897) ARLINGTON, VA
IA
 12/17/2009 - 02/08/2019 OLD DOMINION CAPITAL MANAGEMENT INC. (CRD#:105244) Alexandria, VA
IA
 11/04/1997 - 10/27/2009 CHARLES SCHWAB & CO., INC. (CRD#:5393) MCLEAN, VA
B
 03/11/1996 - 10/27/2009 CHARLES SCHWAB & CO., INC. (CRD#:5393) MCLEAN, VA
B
 10/06/1995 - 03/25/1996 THE KNOX FINANCIAL SERVICES GROUP, INC. (CRD#:19674) PHILADELPHIA, PA
B
 08/21/1991 - 12/13/1994 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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.