Company Name:
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD Number:
8350
Financial Regulator:
SEC/ FINRA
Registration started
Ended
1980
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
CDR: 250316
STEPHEN HORNING
started on 1980-09-24
CDR: 820099
CRAIG MAXEY
CRAIG ALAN MAXEY
started on 1980-12-19
CDR: 475699
MICHAEL ZALES
MICHAEL JOACOB ZALES
started on 1980-12-24
CDR: 23218
GEORGE BLANKENHEIM
started on 1980-10-15
CDR: 1014697
CARL MAYFIELD
started on 1981-10-13
CDR: 419069
ROBERT SESSIONS
started on 1981-03-05
CDR: 1014789
JUDITH CLARKE
started on 1981-12-11
CDR: 375924
WILLIAM RICHEY
started on 1981-01-05
CDR: 732213
LYDIA MAKOWKA
LYDIA J EINHORN LYDIA J MAKOWKA
started on 1982-07-29
CDR: 28294
JOHN BRADLEY
started on 1982-11-17
CDR: 867673
STEVEN TAYLOR
started on 1982-07-12
CDR: 736212
KIP PEDRIE
started on 1982-07-29
CDR: 453387
RALPH VANTREUREN
started on 1982-09-15
CDR: 706246
JAY CARLILE
started on 1982-03-05
CDR: 811569
STEPHEN GOODMAN
STEVE GOODMAN
started on 1982-07-15
CDR: 351663
CARLTON OKAMOTO
started on 1982-07-29
CDR: 732213
LYDIA MAKOWKA
LYDIA J EINHORN LYDIA J MAKOWKA
ended on 1982-08-26
CDR: 351663
CARLTON OKAMOTO
ended on 1982-09-02
CDR: 1141644
CAROLYN BONDAROVICH
CAROLYN B WILLIAMS CAROLYN BRAGAR WILLIAMS
started on 1983-06-22
CDR: 724756
DALE GARNETT
started on 1983-10-05
CDR: 702584
CAROL REED
started on 1983-02-25
CDR: 471935
FRANK WOOD
started on 1983-09-12
CDR: 419069
ROBERT SESSIONS
ended on 1983-10-07
CDR: 1141644
CAROLYN BONDAROVICH
CAROLYN B WILLIAMS CAROLYN BRAGAR WILLIAMS
ended on 1983-11-28
CDR: 62181
JAMES DAVIS
NED DAVIS
started on 1984-07-25
CDR: 817714
TERRY STEEN
started on 1984-06-13
CDR: 815436
ROBERT BEHR
ROBERT SEDGEWICK BEHR
started on 1984-12-18
CDR: 852722
THOMAS BONIK
started on 1984-12-21
CDR: 1013983
RODNEY SWEARINGEN
ROD SWEARINGEN RODNEY B SWEARINGEN RODNEY BRUNNELL SWEARINGEN
started on 1984-09-26
CDR: 351663
CARLTON OKAMOTO
started on 1984-01-13
CDR: 726948
JOEL BRODY
started on 1984-12-11
CDR: 71853
JAMES DREILING
started on 1984-08-23
CDR: 871473
JOHN KNUDSON
started on 1984-08-02
CDR: 25868
CARL BOOM
BILL BOOM C WILLIAM BOOM CARL W BOOM JR
started on 1984-07-21
CDR: 728685
ARTHUR KAUFMAN
started on 1984-06-25
CDR: 28294
JOHN BRADLEY
ended on 1984-01-03
CDR: 724756
DALE GARNETT
ended on 1984-05-14
CDR: 1013983
RODNEY SWEARINGEN
ROD SWEARINGEN RODNEY B SWEARINGEN RODNEY BRUNNELL SWEARINGEN
ended on 1984-11-05
CDR: 351663
CARLTON OKAMOTO
ended on 1984-08-03
CDR: 702584
CAROL REED
ended on 1984-02-04
CDR: 811569
STEPHEN GOODMAN
STEVE GOODMAN
ended on 1984-04-23
CDR: 375924
WILLIAM RICHEY
ended on 1984-04-06
CDR: 725119
ROBERT WETZEL
ROBERT WARREN WEITZEL BOB WETZEL
started on 1985-02-16
CDR: 32306
GARY BROWN
started on 1985-09-24
CDR: 301411
MICHAEL LANDAUER
started on 1985-01-28
CDR: 375924
WILLIAM RICHEY
started on 1985-07-25
CDR: 62181
JAMES DAVIS
NED DAVIS
ended on 1985-12-06
CDR: 725119
ROBERT WETZEL
ROBERT WARREN WEITZEL BOB WETZEL
ended on 1985-07-05
CDR: 852722
THOMAS BONIK
ended on 1985-01-14
CDR: 301411
MICHAEL LANDAUER
ended on 1985-10-07
CDR: 726948
JOEL BRODY
ended on 1985-08-22
CDR: 23794
ERIC BLOCKHUS
started on 1986-04-15
CDR: 844511
PATRICIA HEFNER
PATRICIA ANN ONEILL
started on 1986-02-03
CDR: 817123
CHRISTOPHER ARENAL
CHRIS ARENAL
started on 1986-01-21
CDR: 1110808
TAMMY STEFFEN
TAMMY L RUTHERFORD TAMMY LYNN RUTHERFORD TAMMY LYNN VAUGHN RUTHERFORD TAMMY LYNN VAUGHAN
started on 1986-03-10
CDR: 1001848
RONALD MORROW
started on 1986-04-16
CDR: 706246
JAY CARLILE
ended on 1986-04-22
CDR: 213834
WILL FREEMAN
started on 1987-10-15
CDR: 71853
JAMES DREILING
ended on 1987-07-29
CDR: 844278
GARTH MCCANN
started on 1988-03-10
CDR: 1038257
BRYAN BAUM
started on 1988-03-04
CDR: 1744435
BARRY BROGAN
started on 1988-10-03
CDR: 1386078
RICHARD TURNER
RICH TURNER
started on 1989-09-25
CDR: 857162
TIMOTHY FITZGERALD
started on 1989-05-30
CDR: 1575345
Robert Berry
started on 1989-02-08
CDR: 1625378
JAY TAYLOR
WILLIAM TAYLOR
started on 1989-06-16
CDR: 1282789
WILLIAM CONBOY
WILLIAM F CONBOY
started on 1989-01-05
CDR: 1160121
RAYMOND MARTINELLI
started on 1989-09-25
CDR: 1528540
GEORGE GONSKI
started on 1989-02-23
CDR: 1014697
CARL MAYFIELD
ended on 1989-11-30
CDR: 844511
PATRICIA HEFNER
PATRICIA ANN ONEILL
ended on 1989-08-28
CDR: 25868
CARL BOOM
BILL BOOM C WILLIAM BOOM CARL W BOOM JR
ended on 1989-10-21
CDR: 1744435
BARRY BROGAN
ended on 1989-04-24
CDR: 1403153
DAVID NORIEGA
started on 1990-12-05
CDR: 840911
LAWRENCE BROOKES
started on 1990-10-26
CDR: 1876115
PHILLIP WONG
started on 1990-03-07
CDR: 1301126
JACK CARTER
started on 1990-01-12
CDR: 1011765
BRIAN MCCAULEY
started on 1990-12-05
CDR: 844278
GARTH MCCANN
ended on 1990-01-17
CDR: 32306
GARY BROWN
ended on 1990-03-12
CDR: 871473
JOHN KNUDSON
ended on 1990-02-07
CDR: 1692276
Seth Peritzman
SETH R PERITZMAN
started on 1991-11-13
CDR: 1395357
EDWARD HINDMAN
started on 1991-05-06
CDR: 1170116
ROBERT GLAU
ROBERT ORVILLE GLAU
started on 1991-01-28
CDR: 1791388
DONNA FLEMMING
DONNA SMITH DONNA JEAN WHITE
started on 1991-07-17
CDR: 1331047
JAMES COOK
started on 1991-11-04
CDR: 1810786
RICKY LANG
started on 1991-01-01
CDR: 440094
ERIC SUNDSVOLD
started on 1991-07-30
CDR: 1850515
DANIEL SCHAFFER
REX SCHAFFER
started on 1991-11-04
CDR: 1395357
EDWARD HINDMAN
ended on 1991-11-07
CDR: 1170116
ROBERT GLAU
ROBERT ORVILLE GLAU
ended on 1991-11-19
CDR: 1331047
JAMES COOK
ended on 1991-12-21
CDR: 1001848
RONALD MORROW
ended on 1991-07-29
CDR: 1301126
JACK CARTER
ended on 1991-03-16
CDR: 821202
MICHAEL HAYES
started on 1992-08-03
CDR: 1268326
JAY TWOMEY
started on 1992-11-09
CDR: 1575345
Robert Berry
ended on 1992-10-22
CDR: 1625378
JAY TAYLOR
WILLIAM TAYLOR
ended on 1992-04-14
CDR: 254800
ROBERT IMMIG
BOB IMMIG
started on 1993-01-25
CDR: 866936
KIMBALL KISTLER
KIM KISTLER
started on 1993-03-26
CDR: 867673
STEVEN TAYLOR
ended on 1993-04-06
CDR: 817123
CHRISTOPHER ARENAL
CHRIS ARENAL
ended on 1993-08-11
CDR: 821202
MICHAEL HAYES
ended on 1993-01-13
CDR: 866936
KIMBALL KISTLER
KIM KISTLER
ended on 1993-12-02
CDR: 1388600
HOWARD FRANK
started on 1994-10-10
CDR: 867003
JOHN YAKIMCZYK
started on 1994-10-10
CDR: 871481
DOUGLAS RAY
started on 1994-07-05
CDR: 709043
TERRY TYLER
started on 1995-01-26
CDR: 817123
CHRISTOPHER ARENAL
CHRIS ARENAL
started on 1995-01-17
CDR: 811569
STEPHEN GOODMAN
STEVE GOODMAN
started on 1995-02-20
CDR: 1692276
Seth Peritzman
SETH R PERITZMAN
ended on 1995-01-11
CDR: 254800
ROBERT IMMIG
BOB IMMIG
ended on 1995-01-09
CDR: 709043
TERRY TYLER
ended on 1995-04-24
CDR: 867003
JOHN YAKIMCZYK
ended on 1995-11-28
CDR: 1850515
DANIEL SCHAFFER
REX SCHAFFER
ended on 1995-01-11
CDR: 471935
FRANK WOOD
ended on 1995-05-31
CDR: 811569
STEPHEN GOODMAN
STEVE GOODMAN
ended on 1995-09-06
CDR: 1844951
ERIC MILLER
started on 1996-01-20
CDR: 1755666
BRADLEY JOHNSON
started on 1996-09-26
CDR: 2770786
BRADLY ZOTTI
BRAD M ZOTTI BRADLEY MICHAEL ZOTTI
started on 1996-09-26
CDR: 1844951
ERIC MILLER
ended on 1996-05-29
CDR: 1791388
DONNA FLEMMING
DONNA SMITH DONNA JEAN WHITE
ended on 1996-12-03
CDR: 1810786
RICKY LANG
ended on 1996-02-13
CDR: 1528540
GEORGE GONSKI
ended on 1996-05-09
CDR: 1426670
MARK DEPEW
started on 1997-03-12
CDR: 1278492
MICHAEL POPICK
started on 1997-03-12
CDR: 809380
DANIEL PIET
DANIEL J PIET
started on 1997-04-18
CDR: 2182699
MICHAEL FISHBEIN
MIKE FISHBEIN
started on 1997-06-02
CDR: 1388600
HOWARD FRANK
ended on 1997-03-04
CDR: 857162
TIMOTHY FITZGERALD
ended on 1997-03-04
CDR: 809380
DANIEL PIET
DANIEL J PIET
ended on 1997-10-08
CDR: 450268
BARRY TULL
started on 1998-09-10
CDR: 2645795
BRANDI LERCARA
BRANDI LERCARA BRANDI LERCARA MILLER
started on 1998-04-16
CDR: 2770786
BRADLY ZOTTI
BRAD M ZOTTI BRADLEY MICHAEL ZOTTI
ended on 1998-08-06
CDR: 1268326
JAY TWOMEY
ended on 1998-12-31
CDR: 2182699
MICHAEL FISHBEIN
MIKE FISHBEIN
ended on 1998-03-24
CDR: 1857154
GLENN BERWYN
started on 1999-03-29
CDR: 450268
BARRY TULL
ended on 1999-11-19
CDR: 1282789
WILLIAM CONBOY
WILLIAM F CONBOY
ended on 1999-11-26
CDR: 1755666
BRADLEY JOHNSON
ended on 1999-03-31
CDR: 728685
ARTHUR KAUFMAN
ended on 1999-12-15
CDR: 867673
STEVEN TAYLOR
started on 2000-12-22
CDR: 2856807
JEREMY SANCHEZ
JEREMY ALAN SANCHEZ JEREMY SANCHEZ
started on 2000-04-19
CDR: 1755666
BRADLEY JOHNSON
started on 2000-01-27
CDR: 23794
ERIC BLOCKHUS
ended on 2000-01-18
CDR: 1038257
BRYAN BAUM
ended on 2000-01-28
CDR: 2645795
BRANDI LERCARA
BRANDI LERCARA BRANDI LERCARA MILLER
ended on 2000-04-07
CDR: 1755666
BRADLEY JOHNSON
ended on 2000-12-31
CDR: 322402
GUSTAV MASSEE
BUZZ MASSEE
started on 2001-11-27
CDR: 419069
ROBERT SESSIONS
started on 2001-05-25
CDR: 1245457
MEADE HOWER
MEADE M HOWER MEADE HOWER
started on 2001-09-05
CDR: 1233773
KENNETH LUCAS
started on 2001-06-13
CDR: 867673
STEVEN TAYLOR
ended on 2001-06-06
CDR: 1110808
TAMMY STEFFEN
TAMMY L RUTHERFORD TAMMY LYNN RUTHERFORD TAMMY LYNN VAUGHN RUTHERFORD TAMMY LYNN VAUGHAN
ended on 2001-06-06
CDR: 1160121
RAYMOND MARTINELLI
ended on 2001-06-29
CDR: 817714
TERRY STEEN
ended on 2001-10-26
CDR: 1233773
KENNETH LUCAS
ended on 2001-10-26
CDR: 1636222
MICHAEL HEIMBACH
MIKE HEIMBACH
started on 2002-06-27
CDR: 1528540
GEORGE GONSKI
started on 2002-12-19
CDR: 860769
JEFFREY BOE
JEFFREY E BOE
started on 2002-11-29
CDR: 1386078
RICHARD TURNER
RICH TURNER
ended on 2002-06-28
CDR: 1636222
MICHAEL HEIMBACH
MIKE HEIMBACH
ended on 2002-07-26
CDR: 1245457
MEADE HOWER
MEADE M HOWER MEADE HOWER
ended on 2002-05-22
CDR: 1278492
MICHAEL POPICK
ended on 2002-11-29
CDR: 1857154
GLENN BERWYN
ended on 2003-02-05
CDR: 322402
GUSTAV MASSEE
BUZZ MASSEE
ended on 2003-02-05
CDR: 250316
STEPHEN HORNING
ended on 2003-02-05
CDR: 1403153
DAVID NORIEGA
ended on 2003-02-05
CDR: 815436
ROBERT BEHR
ROBERT SEDGEWICK BEHR
ended on 2003-02-05
CDR: 419069
ROBERT SESSIONS
ended on 2003-02-05
CDR: 1014789
JUDITH CLARKE
ended on 2003-02-05
CDR: 2856807
JEREMY SANCHEZ
JEREMY ALAN SANCHEZ JEREMY SANCHEZ
ended on 2003-02-05
CDR: 440094
ERIC SUNDSVOLD
ended on 2003-02-05
CDR: 820099
CRAIG MAXEY
CRAIG ALAN MAXEY
ended on 2003-02-05
CDR: 375924
WILLIAM RICHEY
ended on 2003-02-05
CDR: 453387
RALPH VANTREUREN
ended on 2003-02-05
CDR: 736212
KIP PEDRIE
ended on 2003-02-05
CDR: 1426670
MARK DEPEW
ended on 2003-02-05
CDR: 1528540
GEORGE GONSKI
ended on 2003-02-05
CDR: 475699
MICHAEL ZALES
MICHAEL JOACOB ZALES
ended on 2003-02-05
CDR: 23218
GEORGE BLANKENHEIM
ended on 2003-02-05
CDR: 840911
LAWRENCE BROOKES
ended on 2003-02-05
CDR: 817123
CHRISTOPHER ARENAL
CHRIS ARENAL
ended on 2003-02-05
CDR: 1876115
PHILLIP WONG
ended on 2003-02-05
CDR: 213834
WILL FREEMAN
ended on 2003-02-05
CDR: 1011765
BRIAN MCCAULEY
ended on 2003-02-05
CDR: 860769
JEFFREY BOE
JEFFREY E BOE
ended on 2003-02-05
CDR: 871481
DOUGLAS RAY
ended on 2003-02-05



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