Experience
Rocky is a 44-year veteran of the investment advisory business. Roles have included:
- Financial Advisor / Investment Management Consultant / Portfolio Management Director
- Branch Manager for several highly acclaimed offices
- Manager, Retail Options Department (New York)
- Manager, National Marketing Center (New York)
- Sales Manager, Resource Management Account (New York)
- Director of Marketing (Chicago), including Advertising, Mutual Funds, Insurance, Financial Planning, Managed Accounts
- Member, Board of Directors
- Chairman, Financial Consultants Advisory Council
Education
- MBA, University of California, Riverside, 1981– graduated #1 in class
- BA Economics & Psychology, University of California, Santa Barbara, 1974 – magna cum laude
Associations
- North Ranch Country Club
- ProVisors
Licenses & Designations
- Series 7 General Securities Representative, held through LPL Financial
- Series 8 Branch Office Manager, held through LPL Financial
- Series 4 Registered Options Principal, held through LPL Financial
- Series 24 General Securities Principal, held through LPL Financial
- Series 53 Municipal Securities Principal, held through LPL Financial
Personal
- Lives in Westlake Village with wife of 44 years, Linda
- Enjoys golf, bad puns and The Beatles