Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence? Claim Your ProfileLawrence Rocha is a financial advisor with over 13 years of experience in the financial industry. Lawrence is currently registered with Independent Financial Partners and has previously worked with several other firms including LPL Financial LLC, Avantax Investment Services, Inc., and Infinex Investments, Inc.. Lawrence holds Series 6, 7, 63, and 66 licenses. Lawrence offers financial planning, portfolio management, and non-discretionary investment advice to individuals, families, and businesses. Lawrence specializes in providing investment and insurance advice and works with a variety of clients including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Lawrence is dedicated to helping his clients reach 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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Non-discretionary investment advice
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.
A percentage of the total value of assets under management is charged.
Percentage of assets under advisement
1
2
CA
06/08/2023 - Present
Independent Financial Partners (Torrance CA)
CA
01/04/2022 - 06/14/2023
LPL FINANCIAL LLC (TORRANCE CA)
CA
11/14/2018 - 11/18/2021
AVANTAX INVESTMENT SERVICES, INC. (Rancho Palos Verdes CA)
CA
11/15/2017 - 10/13/2018
INFINEX INVESTMENTS, INC. (Lakewood CA)
CA
10/05/2015 - 10/18/2017
CETERA INVESTMENT SERVICES LLC (SAN JOSE CA)
CA
05/01/2012 - 10/02/2015
U.S. BANCORP INVESTMENTS, INC. (San Jose CA)
CA
01/24/2011 - 05/01/2012
BANCWEST INVESTMENT SERVICES, INC. (CAPITOLA CA)
CA
04/21/2010 - 12/17/2010
NEW ENGLAND SECURITIES (CAMPBELL CA)
BOTH
Issued 06/20/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/23/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2011
Series 7 - General Securities Representative Examination
BC
Issued 04/20/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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