Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cesar? Claim Your ProfileCesar Rocha is a financial advisor who has been working in the industry since 2008. Cesar is registered with Charles Schwab & Co., Inc. in Los Angeles, California. Cesar has passed the Series 6, 7, 63, and 65 exams, and is experienced in providing financial planning, portfolio management and selection of other advisors. Cesar has previously been registered with TD Ameritrade, Inc., WELLS FARGO CLEARING SERVICES, LLC, J.P. MORGAN SECURITIES LLC, and Chase Investment Services Corp.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CA
11/24/2021 - Present
Charles Schwab & CO., Inc. (Los Angeles CA)
CA
04/11/2023 - 07/29/2024
TD AMERITRADE, INC. (Los Angeles CA)
CA
12/20/2017 - 11/12/2021
WELLS FARGO CLEARING SERVICES, LLC (MANHATTAN BEACH CA)
CA
10/01/2012 - 10/13/2017
J.P. MORGAN SECURITIES LLC (MONTEBELLO CA)
CA
05/09/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (LOS ANGELES CA)
CA
02/14/2006 - 11/30/2007
WAMU INVESTMENTS, INC. (LOS ANGELES CA)
AZ
10/31/2005 - 12/06/2005
AIG FINANCIAL ADVISORS, INC. (SCOTTSDALE AZ)
AZ
01/01/2005 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
Issued 12/08/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2017
Series 7 - General Securities Representative Examination
BC
Issued 05/06/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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