Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joao? Claim Your ProfileJoao Rocha is a financial advisor with over 17 years of experience in the industry. Joao currently works at LPL Financial LLC and is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Joao holds Series 6, 7, 63, and 65 licenses and has experience working with individuals, businesses, high-net-worth clients, and retirement plans. Joao has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Advisors, LLC, MetLife Securities Inc., and Metropolitan Life Insurance Company.
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.
1
2
NJ
04/13/2021 - Present
LPL Financial LLC (NEWARK NJ)
NJ
09/22/2014 - 01/07/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WOODBRIDGE NJ)
NJ
04/13/2007 - 08/07/2014
WELLS FARGO ADVISORS, LLC (SOMERSET NJ)
NJ
03/15/2005 - 07/10/2006
METLIFE SECURITIES INC. (TINTON FALLS NJ)
NJ
03/15/2005 - 07/10/2006
METROPOLITAN LIFE INSURANCE COMPANY (TINTON FALLS NJ)
IA
Issued 10/02/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/10/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2012
Series 7 - General Securities Representative Examination
BC
Issued 03/14/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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