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Jennifer Rebecca Rocci

Capital Client Group, Inc.

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About Jennifer Rebecca Rocci

Jennifer Rocci is an investment professional with over 15 years of experience in the financial services industry. Jennifer is currently registered with Capital Client Group, Inc. Jennifer has held previous roles with OneAmerica Securities, Inc., Ameriprise Financial Services, Inc., First Allied Securities, Inc., and Woodbury Financial Services, Inc..

Firm Information

Jennifer Rocci is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

Total Financial Advisors

Services Offered

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.

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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

Fee Structure

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.

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other

As agreed upon in a manner that covers registrant's costs

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Jennifer Rocci’s Registration & Firm History

CA

09/20/2021 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

IN

11/30/2015 - 08/29/2019

ONEAMERICA SECURITIES, INC. (INDIANAPOLIS IN)

CA

10/06/2011 - 11/10/2015

AMERIPRISE FINANCIAL SERVICES, INC. (PLEASANTON CA)

CA

10/28/2009 - 03/23/2011

FIRST ALLIED SECURITIES, INC. (REDWOOD SHORES CA)

CA

03/23/2004 - 08/28/2009

WOODBURY FINANCIAL SERVICES, INC. (SAN RAMON CA)

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Licenses & Designations

IA

Issued 12/21/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/27/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/29/2004

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/2011

Series 7 - General Securities Representative Examination

BC

Issued 03/19/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jennifer Rebecca Rocci.
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