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Detailed Report
MELVIN MARK ROCHOWIAK
CRD#: 2257675
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 5600 Blazer Pkwy Ste 300
Dublin, OH 43017
Registration History
1995200020052010201520202025IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2003 - Present (22 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)1992 - Present (32 years)
License(s)

State Registrations

B
Arizona 4/21/2004
B
Ohio 7/17/1992
B
California 3/16/2007
IA
Ohio 1/30/2003
B
Florida 4/21/2004
B
Texas 2/20/2007
B
Georgia 1/25/2017
IA
Texas 5/20/2021
B
Michigan 3/19/1998
B
Virginia 1/9/2021
B
Nevada 4/16/2020
B
West Virginia 7/27/2015
B
North Carolina 2/7/2000

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
PRINCIPAL SECURITIES, INC. (CRD#:1137)
5600 Blazer Pkwy Ste 300, Dublin, OH 43017
Registered with this firm since 1/30/2003
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
5600 Blazer Pkwy Ste 300, Dublin, OH 43017
Registered with this firm since 7/16/1992
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.