Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roc? Claim Your ProfileRoc Willis is a financial advisor who has been in the industry since 1983. Currently, Roc Willis is registered with Oppenheimer & Co. Inc. Roc Willis has been registered with Oppenheimer & Co. Inc. since November 2024. Roc Willis is also registered with other firms including WELLS FARGO ADVISORS, LLC, A. G. EDWARDS & SONS, INC., MORGAN STANLEY DW INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, SHEARSON/AMERICAN EXPRESS INC. and FOSTER & MARSHALL/AMERICAN EXPRESS INC.. Roc Willis has a broad range of experience working with clients of all types, including individuals, corporations, and institutions. Roc Willis provides a variety of financial services, including financial planning, portfolio management, and selection of other advisors.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
OR
12/16/2024 - Present
Oppenheimer & Co. Inc. (LAKE OSWEGO OR)
CA
01/01/2008 - 01/31/2011
WELLS FARGO ADVISORS, LLC (LA JOLLA CA)
CA
05/06/2004 - 01/03/2008
A. G. EDWARDS & SONS, INC. (LA JOLLA CA)
NY
03/05/1987 - 05/20/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
02/22/1984 - 02/06/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
08/23/1983 - 02/21/1984
SHEARSON/AMERICAN EXPRESS INC.
NA
03/24/1983 - 09/01/1983
FOSTER & MARSHALL/AMERICAN EXPRESS INC.
IA
Issued 05/19/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1993
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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