Hanna Foster Rockwell
Investment Adviser Representative at Advice AND Planning Services
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Hanna Foster Rockwell is an investment adviser representative with Advice and Planning Services in Charlotte, NC, where they have been registered since 2025. They have worked in the securities industry since 2024 and were previously registered with Florida Financial Advisors, LLC. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in North Carolina.
Office
Advisors at this office: 148
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina
- Broker:
51 states and territories
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, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Florida Financial Advisors DBA Tristate Financial AdvisorsDec 2023 – Feb 2025Charlotte, NC
- Whippi DipApr 2014 – Aug 2017Fairlee, VT
- Private CompanyApr 2018 – Aug 2018Norwich, NH
- Dartmouth Hitchcock Medical CenterSep 2018 – Dec 2023Lebanon, NH
- University of AlabamaAug 2017 – Apr 2018Tuscaloosa, AL
- Trinity Wealth Securities, LLCDec 2024 – Feb 2025Charlotte, NC
- TIAA-CREF Individual & Institutional Services, LLCMar 2025 – no end date reportedCharlotte, NC
- TIAAMar 2025 – no end date reportedCharlotte, NC
- UnemployedFeb 2025 – Mar 2025Maiden, NC
- Southern New Hampshire UniversityMay 2021 – Dec 2023Lebanon, NH
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Advice AND Planning Services
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Other
- Firm account minimum
- $5,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,648
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-63550
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 6, 2026
View full firm profileOther advisors at Advice AND Planning Services
Showing 12 of 1,648 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Hanna Foster Rockwell has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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