Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hugo? Claim Your ProfileHugo Rocha is a financial advisor registered with Wells Fargo Clearing Services, LLC. Hugo has been working in the financial industry since 1999. Hugo holds both Series 7 and Series 63 securities licenses and a Series 65 investment advisor license. Hugo also has a Series SIE license. Hugo has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Sands Brothers & Co., LTD. in the past. Hugo specializes in providing investment advice to individuals, businesses, corporations, charitable organizations, pension and profit-sharing plans, high-net-worth individuals, insurance companies, and investment companies. Hugo also provides portfolio management for individuals and businesses. Hugo has a proven track record of success in the financial industry and is committed to providing his clients with the highest level of service and personalized attention.
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.
Investment consulting services to institutional clients
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
PA
07/22/2003 - Present
Wells Fargo Clearing Services, LLC (BENSALEM PA)
NY
07/25/2001 - 07/11/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/08/1998 - 01/03/2001
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
IA
Issued 08/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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