Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Grace? Claim Your ProfileGrace Patricia Rocha is a financial advisor with over 25 years of experience in the industry. Grace has worked with Citigroup Global Markets Inc. since 2010, and is currently a Registered Representative. Grace has extensive experience working with a wide range of clients, including high-net-worth individuals, corporations, charitable organizations, and pension plans. Grace has a Series 7, 10, 24, 63 and 66 licenses and has a proven track record of success in helping clients achieve their financial goals. Grace is a dedicated professional with a strong commitment to providing her clients with personalized financial advice and guidance.
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.
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.
Asset allocation advice
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.
1
2
FL
12/05/2016 - Present
Citigroup Global Markets Inc. (Miami FL)
FL
03/17/2010 - 11/16/2015
CITIGROUP GLOBAL MARKETS INC. (MIAMI FL)
FL
04/16/2009 - 03/05/2010
CAPITAL GUARDIAN, LLC (MIAMI FL)
FL
03/14/2001 - 03/23/2009
STANFORD GROUP COMPANY (MIAMI FL)
MA
04/01/1998 - 08/20/2001
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
FL
03/27/1997 - 04/01/1998
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
BOTH
Issued 07/11/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/08/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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