Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robin? Claim Your ProfileRobin Rocha is a financial advisor with over 35 years of experience. Robin is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative. Robin has also held previous registrations with BANC of America Investment Services, Inc., BA Investment Services, Inc., GNA Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and First Jersey Securities, Inc. Robin specializes in portfolio management for individuals and businesses, pension consulting, and educational seminars. Robin is licensed in several states, including California, Texas, and Arizona.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
09/07/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NAPA CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ST. HELENA CA)
CA
05/30/1992 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
09/14/1989 - 06/30/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
NA
12/19/1985 - 07/27/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
09/24/1984 - 12/10/1985
FIRST JERSEY SECURITIES, INC.
IA
Issued 09/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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