Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Antonia? Claim Your ProfileAntonia La rocca has been in the financial industry since 1995. Antonia is currently registered as a Registered Representative and Investment Advisor Representative with Sanctuary Advisors, LLC. Antonia has previously worked for UBS Financial Services Inc. and Citigroup Global Markets Inc., among others. Antonia is a licensed Investment Advisor Representative in California and Texas, and is a licensed Registered Representative in Arizona, California, Colorado, Delaware, District of Columbia, Florida, Hawaii, Illinois, Maryland, Massachusetts, Minnesota, Montana, Nebraska, New York, Oregon, South Dakota, Texas and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
04/19/2022 - Present
Sanctuary Advisors, LLC (SANTA BARBARA CA)
CA
04/25/2008 - 04/27/2022
UBS FINANCIAL SERVICES INC. (SANTA BARBARA CA)
CA
09/26/2000 - 05/01/2008
CITIGROUP GLOBAL MARKETS INC. (SANTA BARBARA CA)
NY
10/17/1995 - 10/06/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 11/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 10/16/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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