Jeffrey
Rock

E*Trade Capital Management, LLC

CRD#1107121
Investment Advisor
in Dallas, TX
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About this Advisor

Jeffrey Rock is an investment advisor located in Dallas, Texas. Currently a registered advisor at E*Trade Capital Management, LLC, Rock has 10 years of professional experience in the financial advisory industry. Rock has Series 63 and Series 66 licenses, qualifying the advisor as a securities agent. Rock is registered to work with clients in Texas. During their career, the advisor has held roles at Merrill Lynch, Pierce, Fenner & Smith, Inc, Fiduciary Financial Services Of The Southwest, Morgan Stanley Smith Barney, Fluor Corporation, Bank Of America, N.A, Usaa Financial Advisors, Inc, Usaa Financial Planning Services, E*Trade Securities LLC and E*Trade Capital Management LLC. E*Trade Capital Management, LLC is headquartered in Dallas, Texas, and has 33 additional locations in the United States. The firm's total assets under management places it among the largest investment advisory firms in the country. All of the firm's accounts are managed on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. None of the investment firm's 29,958 clients are considered high-net-worth individuals, who are defined as investors who have more than $1 million in capital. E*Trade Capital Management, LLC provides portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers, publication of newsletters and educational seminars. The firm may charge clients asset-based fees.

Certifications and Registrations

Series 63, Series 66, Chartered Financial Analyst

Years of Experience

10 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers, Publication of periodicals or newsletters, Educational seminars/workshops

Fee Structure

Percentage of Assets

Disclosures

No

Office Location

8418 Preston Road
Dallas, TX 75225

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E*Trade Capital Management, LLC Brokerage Details

Total Assets Under Management

$5,673,424,781

TX Average: $7,464,549,021
Total Number of Accounts

35,265

TX Average: 3,892
Average Account Size

$160,880

TX Average: $1,917,921

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Educational seminars/workshops

Jeffrey Rock Work History

Jeffrey has 10 years of experience.

2015 - Present (4 years)

E*Trade Securities LLC

2015 - Present (4 years)

E*Trade Capital Management LLC

2014 - 2015 (1 year)

Usaa Financial Advisors, Inc

2014 - 2015 (1 year)

Usaa Financial Planning Services

2011 - 2014 (3 years)

Merrill Lynch, Pierce, Fenner & Smith, Inc

2011 - 2014 (3 years)

Bank Of America, N.A

2010 - 2011 (1 year)

Morgan Stanley Smith Barney

2009 - 2010 (1 year)

Fluor Corporation

2008 - 2008 (< 1 year)

Fiduciary Financial Services Of The Southwest

Disclosures

Jeffrey Rock has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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