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Joao Mariano Rotta

Raymond James & Associates, Inc.

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About Joao Mariano Rotta

Joao Mariano Rotta is an investment advisor representative with Raymond James & Associates, Inc. Joao has been in the financial services industry since May 2009. Previously, Joao worked at UBS Financial Services Inc. and CitiCorp Investment Services. Joao has Series 3, 7, 63, 66 and SIE licenses and is registered in several states.

Firm Information

Joao Rotta is currently registered with Raymond James & Associates, Inc.. Raymond James & Associates, Inc. is a corporation headquartered in St. Petersburg, Florida, that was formed in February 1969. With a team of over 7,700 licensed agents, investment adviser representatives, and registered representatives, the firm manages over $433 billion in assets for a diverse clientele including high-net-worth individuals, corporations, insurance companies, pension plans, and charitable organizations. Raymond James offers a wide range of advisory services including financial planning, pension consulting, educational seminars, and portfolio management for individuals, businesses, and investment companies. The firm is registered with the Securities and Exchange Commission and is licensed to operate in all 50 states and the District of Columbia.
Raymond James & Associates, Inc.

880 CARILLON PARKWAY

ST. PETERSBURG, FL 33716

$433.81B

Assets Under Management

2,313

Total Clients

6,961

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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please see note in schedule d - miscellaneous

Please see note in schedule d - miscellaneous

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Joao Rotta’s Registration & Firm History

NY

01/07/2021 - Present

Raymond James & Associates, Inc. (NEW YORK NY)

NY

12/01/2010 - 01/19/2021

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

NY

11/11/2004 - 05/17/2006

CITICORP INVESTMENT SERVICES (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/13/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/11/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/01/2011

Series 3 - National Commodity Futures Examination

BC

Issued 11/30/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joao Mariano Rotta.
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