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Detailed Report
Rocio Montagner
ROCIO GALAVIZ, ROCIO GALAVIZ-MONTAGNER, ROCIO GALAVIZ-MONTAGNERER, ROCIO GALAVIZMONTAGNER, ROCIO MONTAGNER
CRD#: 2362721
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 41301 12th Street West Suite E
PALMDALE, CA 93551
Registration History
19952000200520102015202020252 FIRMS2014 - Present (11 years)BPROEQUITIES, INC. (CRD# 15708)2010 - 2014 (3 years)BC C F INVESTMENTS, INC. (CRD# 136571)2008 - 2008 (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2005 (2 years)BCAL FED INVESTMENTS (CRD# 19631)2001 - 2003 (1 year)BTHE LEADERS GROUP, INC. (CRD# 37157)2000 - 2001 (<1 year)BPFS INVESTMENTS INC. (CRD# 10111)1998 - 2000 (2 years)BGATEWAY INVESTMENT SERVICES, INC. (CRD# 31153)1993 - 1998 (4 years)BPROTECTIVE EQUITY SERVICES, INC. (CRD# 15708)1993 - 1993 (<1 year)IACITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2005 (1 year)
Disclosure(s)
View By:
12/14/2018
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Arizona 8/12/2016
B
Montana 7/29/2021
B
California 1/10/2014
B
Nevada 4/19/2018
IA
California 1/27/2014
B
Pennsylvania 3/2/2021
B
Colorado 4/15/2024
B
Texas 9/5/2018
B
Florida 9/22/2022
IA
Texas 1/9/2019
B
Georgia 10/2/2019
B
Utah 1/26/2021
B
Louisiana 6/13/2022
B
Virginia 8/5/2020
B
Michigan 8/30/2021

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
EDWARD JONES (CRD#:250)
41301 12th Street West Suite E, PALMDALE, CA 93551
Registered with this firm since 1/27/2014
B
EDWARD JONES (CRD#:250)
41301 12th Street West Suite E, PALMDALE, CA 93551
Registered with this firm since 1/6/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/16/2010 - 01/31/2014 PROEQUITIES, INC. (CRD#:15708) PALMDALE, CA
B
 06/09/2008 - 10/15/2008 C C F INVESTMENTS, INC. (CRD#:136571) GREENSBORO, GA
IA
 01/01/2004 - 05/05/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) WHITTIER, CA
B
 02/05/2003 - 05/05/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 12/07/2001 - 02/05/2003 CAL FED INVESTMENTS (CRD#:19631) SACRAMENTO, CA
B
 09/29/2000 - 07/18/2001 THE LEADERS GROUP, INC. (CRD#:37157) LITTLETON, CO
B
 09/25/1998 - 09/05/2000 PFS INVESTMENTS INC. (CRD#:10111) DULUTH, GA
B
 11/22/1993 - 09/02/1998 GATEWAY INVESTMENT SERVICES, INC. (CRD#:31153) OAK PARK, IL
B
 06/18/1993 - 12/31/1993 PROTECTIVE EQUITY SERVICES, INC. (CRD#:15708) BIRMINGHAM, AL
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.