Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rocco is a financial advisor with over 12 years of experience. James has held positions at several well-known firms including J.P. Morgan Securities LLC, Chase Investment Services Corp., Citigroup Global Markets Inc., National Securities Corporation, Banc of America Investment Services, Inc., Wachovia Securities, LLC and now works for Wells Fargo Clearing Services, LLC. James is a registered representative in Florida and Texas and holds licenses in both securities and investment advisory. James has a strong track record of helping clients achieve their financial goals.
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
FL
01/28/2019 - Present
Wells Fargo Clearing Services, LLC (NAPLES FL)
FL
10/01/2012 - 12/12/2014
J.P. MORGAN SECURITIES LLC (NAPLES FL)
NY
10/28/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (RIVERHEAD NY)
NY
06/21/2010 - 10/13/2011
CITIGROUP GLOBAL MARKETS INC. (MANHASSET NY)
NY
03/17/2009 - 05/08/2009
NATIONAL SECURITIES CORPORATION (HUNTINGTON NY)
NY
10/17/2008 - 02/26/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (MELVILLE NY)
FL
03/28/2008 - 10/02/2008
WACHOVIA SECURITIES, LLC (NAPLES FL)
NY
10/10/2007 - 03/18/2008
CHASE INVESTMENT SERVICES CORP. (BELLPORT NY)
IA
Issued 12/08/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2008
Series 7 - General Securities Representative Examination
BC
Issued 10/08/2007
Series 6 - Investment Company Products/Variable Contracts 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
Not sure James Rocco is the right advisor for you? Invested Better is here to help.
