Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dara? Claim Your ProfileDara Rocchi is a financial advisor with over 20 years of experience in the industry. Dara is currently registered with LPL Financial LLC and is licensed in California. Previously, Dara has held positions with UnionBanc Investment Services, LLC, BancWest Investment Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., and BA Investment Services, Inc. Dara has a strong background in financial planning and portfolio management.
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.
Consulting and other non-discretionary advisory services
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.
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CA
08/16/2019 - Present
LPL Financial LLC (DANVILLE CA)
CA
08/12/2016 - 04/11/2019
UNIONBANC INVESTMENT SERVICES, LLC (WALNUT CREEK CA)
CA
09/21/2015 - 07/22/2016
BANCWEST INVESTMENT SERVICES, INC. (CONCORD CA)
CA
10/23/2009 - 09/02/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WALNUT CREEK CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WALNUT CREEK CA)
CA
04/07/1997 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 01/23/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2011
Series 7 - General Securities Representative Examination
BC
Issued 04/03/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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