Franklin Joseph Rockwood

CRD 1968632 · Fidelity Brokerage Services LLC · Salt Lake City, UT

IA RegisteredBroker

Also appears in the source record as: Frank Rockwood; Franklin Rockwood

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 9Series 10Series 7TOSIESeries 6Series 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (12)

From the source registration record · current first

Strategic Advisers LLCCurrent
Salt Lake City, UT · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Holladay, UT · BD capacity

Jan 10, 2020 → present
Fidelity Brokerage Services LLCCurrent
Salt Lake City, UT · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Sep 16, 2020 → Mar 31, 2025
Metlife Securities Inc.
BD capacity

Jun 30, 2008 → Dec 17, 2009
Equitrust Marketing Services, LLC
BD capacity

Mar 31, 2003 → Apr 9, 2008
United Securities Alliance, Inc.
BD capacity

May 19, 1999 → Dec 31, 1999
New England Securities
BD capacity

Sep 23, 1997 → Dec 31, 1998
Wma Securities, Inc.
BD capacity

Mar 15, 1996 → Aug 11, 1997
First Security Investor Services, Inc.
BD capacity

Jan 16, 1992 → Apr 13, 1994
Mony Securities Corp.
BD capacity

Aug 11, 1989 → Jan 15, 1992
The Mutual Life Insurance Company Of New York
BD capacity

Aug 11, 1989 → Oct 15, 1990

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1968632 ↗ FINRA BrokerCheck record for CRD 1968632 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.