Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maria? Claim Your ProfileMaria Cecile Rocchio is a registered representative with Allspring Funds Distributor, LLC. Maria has been in the securities industry since 1990. Maria has a Series 7, 8, 9, 10, 24, 63 license and holds a current registration with the state of California. Previously, Maria worked for FORESIDE FUNDS DISTRIBUTORS LLC, BLACKROCK INVESTMENTS, LLC, BLACKROCK EXECUTION SERVICES, BLACKROCK FUND DISTRIBUTION COMPANY, CHARLES SCHWAB & CO., INC., GRIFFIN FINANCIAL SERVICES, HAMBRECHT & QUIST INCORPORATED, FSC SECURITIES CORPORATION, GREAT WESTERN FINANCIAL SECURITIES CORPORATION.
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.
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2
CA
05/07/2019 - Present
Allspring Funds Distributor, LLC (SAN FRANCISCO CA)
CA
02/27/2019 - 04/01/2019
FORESIDE FUNDS DISTRIBUTORS LLC (SAN FRANCISCO CA)
CA
03/25/2010 - 01/11/2018
BLACKROCK INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
04/20/2007 - 09/16/2014
BLACKROCK EXECUTION SERVICES (SAN FRANCISCO CA)
CA
12/23/2009 - 12/31/2011
BLACKROCK FUND DISTRIBUTION COMPANY (SAN FRANCISCO CA)
CA
09/25/1996 - 03/14/2007
CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)
NA
03/25/1994 - 12/13/1995
GRIFFIN FINANCIAL SERVICES
CA
07/02/1993 - 08/16/1993
HAMBRECHT & QUIST INCORPORATED (SAN FRANCISCO CA)
GA
06/02/1992 - 07/21/1993
FSC SECURITIES CORPORATION (ATLANTA GA)
CA
03/11/1989 - 06/12/1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NA
09/24/1987 - 10/03/1988
CHARLES SCHWAB & CO., INC.
BC
Issued 03/11/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/21/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/08/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/11/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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