Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paolo? Claim Your ProfilePaolo Rocca is a financial advisor with over 25 years of experience in the financial services industry. Paolo has been registered with the Securities and Exchange Commission (SEC) since 1994 and is currently employed with Fidelity Personal and Workplace Advisors. Paolo specializes in providing financial advice to individuals and businesses. Paolo is also licensed to provide investment advisory services in Illinois and Texas. Paolo holds licenses for Series 7, 9, 10, 63, and 65.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
IL
07/13/2018 - Present
Fidelity Personal AND Workplace Advisors (CHICAGO IL)
NY
01/23/1998 - 08/03/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/20/1994 - 11/12/1997
QUICK & REILLY, INC. (NEW YORK NY)
IA
Issued 02/02/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/09/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/24/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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