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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Rocha is a financial advisor registered with Stifel, Nicolaus & Company, Inc. Nancy has over 16 years of experience in the financial services industry. Nancy holds Series 7, 50, 52TO, 53, and 63 licenses. Nancy specializes in investment advice, financial planning, pension consulting, and educational seminars.
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.
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.
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2
TX
08/03/2020 - Present
Stifel, Nicolaus & Company, Inc. (DALLAS TX)
TX
08/10/2006 - 09/02/2009
WELLS FARGO BROKERAGE SERVICES, L.L.C. (SAN ANTONIO TX)
IL
10/08/2004 - 05/15/2006
CABRERA CAPITAL MARKETS, INC. (CHICAGO IL)
TX
02/09/2004 - 09/07/2004
FIRST SOUTHWEST COMPANY (DALLAS TX)
NJ
07/21/2003 - 01/07/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BC
Issued 08/17/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/02/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/18/2021
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 08/01/2020
Series 52TO - Municipal Securities Representative Examination
BC
Issued 06/06/2020
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
New York Stock Exchange
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