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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocco? Claim Your ProfileRocco Lepore is a financial advisor with over 25 years of experience in the industry. Rocco is currently registered with Morgan Stanley and has been with the firm since 2009. Rocco's previous experience includes roles at RBC Capital Markets Corporation, Tucker Anthony Incorporated, Gibraltar Securities Co. and Goldman, Sachs & Co. Rocco holds the Series 3, 7, 63 and 65 licenses as well as the SIE. Rocco is also registered in over 30 states. Rocco has experience providing financial planning services to individuals and businesses. Rocco specializes in providing financial planning advice, investment management, and asset allocation strategies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NJ
06/19/2009 - Present
Morgan Stanley (Little Falls NJ)
NJ
03/09/2002 - 06/25/2009
RBC CAPITAL MARKETS CORPORATION (FLORHAM PARK NJ)
MA
09/01/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NJ
02/17/1998 - 09/01/1999
GIBRALTAR SECURITIES CO. (FLORHAM PARK NJ)
NY
05/05/1997 - 01/12/1998
GOLDMAN, SACHS & CO. (NEW YORK NY)
IA
Issued 12/21/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1997
Series 3 - National Commodity Futures Examination
BC
Issued 05/02/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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