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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian F. La rocca is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has over 14 years of experience in the financial services industry. Brian is registered to provide investment advice in all 50 states and the District of Columbia. Brian specializes in providing financial advice to individuals, families, and businesses. Brian also has experience in providing investment advice to corporations, pension and profit-sharing plans, charitable organizations, and high-net-worth individuals. Brian offers a range of financial services, including portfolio management, financial planning, and investment research.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
02/25/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (KINGWOOD TX)
TX
06/03/2016 - 02/26/2019
FROST BROKERAGE SERVICES, INC. (THE WOODLANDS TX)
TX
02/26/2015 - 05/24/2016
WELLS FARGO ADVISORS, LLC (HOUSTON TX)
TX
10/29/2013 - 02/12/2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (HOUSTON TX)
TX
05/29/2007 - 10/24/2013
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
TX
09/12/2005 - 05/29/2007
CITICORP INVESTMENT SERVICES (PASADENA TX)
TX
07/18/2005 - 08/19/2005
A I M DISTRIBUTORS, INC. (HOUSTON TX)
BOTH
Issued 06/15/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/21/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/15/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/23/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 08/23/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/2012
Series 7 - General Securities Representative Examination
BC
Issued 07/15/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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