Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Anthony Rocca is a financial advisor with over 40 years of experience in the securities industry. Joseph is currently registered with Wilson-Davis & CO., Inc. and has previously worked at several other firms including Meyers Associates, L.P., Delaney Equity Group LLC, Westor Capital Group, Inc., BMA Securities, Scottsdale Capital Advisors Corp, Martinez-Ayme Securities, Aurora Financial Services, L.L.C., Quantum Securities, Inc., STG Secure Trading Group, Inc., EDI Financial, Inc., First Southwest Company, Hoak Breedlove Wesneski & Co., SC Securities Corp, Weber Investment Corporation, Rauscher Pierce Refsnes, Inc., Nash, Weiss & Co., Rodman & Renshaw Inc. and Oppenheimer & Co., Inc.. Joseph has a wide range of experience in the securities industry and holds several licenses and registrations including Series 7, Series 24, Series 55, Series 57TO and Series 63.
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.
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.
1
2
UT
11/25/2013 - Present
Wilson-Davis & CO., Inc. (SALT LAKE CITY UT)
NY
01/17/2013 - 11/19/2013
MEYERS ASSOCIATES, L.P. (NEW YORK NY)
FL
09/07/2012 - 01/14/2013
DELANEY EQUITY GROUP LLC (WEST PALM BEACH FL)
NY
05/15/2012 - 08/21/2012
WESTOR CAPITAL GROUP, INC. (HERKIMER NY)
CA
05/10/2010 - 04/16/2012
BMA SECURITIES (CANOGA PARK CA)
CA
08/11/2009 - 05/19/2010
SCOTTSDALE CAPITAL ADVISORS CORP (NEWPORT BEACH CA)
FL
10/03/2008 - 06/30/2009
MARTINEZ-AYME SECURITIES (BOCA RATON FL)
FL
07/03/2007 - 04/08/2009
AURORA FINANCIAL SERVICES, L.L.C. (BOCA RATON FL)
FL
03/04/2008 - 04/10/2008
QUANTUM SECURITIES, INC. (BOCA RATON FL)
FL
04/11/2005 - 06/22/2007
STG SECURE TRADING GROUP, INC. (BOCA RATON FL)
TX
05/07/2003 - 12/31/2004
EDI FINANCIAL, INC. (IRVING TX)
TX
08/25/1999 - 04/17/2003
FIRST SOUTHWEST COMPANY (DALLAS TX)
TX
09/17/1996 - 07/19/1999
HOAK BREEDLOVE WESNESKI & CO. (DALLAS TX)
NA
08/11/1995 - 12/23/1996
SC SECURITIES CORP.
TX
08/05/1991 - 08/25/1995
WEBER INVESTMENT CORPORATION (DALLAS TX)
TX
01/22/1991 - 05/22/1991
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NJ
05/16/1983 - 12/12/1990
NASH, WEISS & CO. (JERSEY CITY NJ)
NA
11/07/1981 - 12/25/1981
RODMAN & RENSHAW INC.
NA
05/24/1979 - 08/27/1981
OPPENHEIMER & CO., INC.
BC
Issued 12/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/28/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/19/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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