linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Rocco Christopher Barbaro

Cetera Advisors LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Rocco? Claim Your Profile

About Rocco Christopher Barbaro

Rocco Christopher Barbaro has been in the securities industry since March 29, 2006. Rocco is currently registered with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, and Cetera Advisor Networks LLC. Rocco is licensed to conduct business in California. Rocco is also a Registered Principal.

Firm Information

Rocco Barbaro is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Rocco Barbaro’s Registration & Firm History

CA

02/22/2019 - Present

Cetera Advisors LLC (EL SEGUNDO CA)

CA

02/22/2019 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (EL SEGUNDO CA)

CA

02/22/2019 - 12/03/2019

SUMMIT BROKERAGE SERVICES, INC. (EL SEGUNDO CA)

CA

02/22/2017 - 01/02/2018

NATIONAL PLANNING CORPORATION (El Segundo CA)

CA

08/21/2012 - 07/29/2016

SCOTTRADE, INC. (GLENDALE CA)

CA

01/05/2011 - 08/17/2012

E*TRADE SECURITIES LLC (LOS ANGELES CA)

CA

09/21/2007 - 01/03/2011

FIDELITY BROKERAGE SERVICES LLC (LOS ANGELES CA)

CA

05/12/2006 - 09/04/2007

TD AMERITRADE, INC. (BEVERLY HILLS CA)

NY

07/15/2005 - 04/24/2006

MORGAN STANLEY DW INC. (PURCHASE NY)

Not sure if Rocco Christopher Barbaro is right for you?

Licenses & Designations

BOTH

Issued 09/21/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/14/2019

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/2006

Series 31 - Futures Managed Funds Examination

BC

Issued 07/14/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rocco Christopher Barbaro.
Not sure if Rocco Christopher Barbaro is right for you?