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Rocco Forlizzi

Wells Fargo Securities, LLC

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About Rocco Forlizzi

Rocco Forlizzi is a financial professional with over 15 years of experience in the securities industry. Rocco has a strong background in financial operations and is a registered principal with Wells Fargo Securities, LLC. Rocco holds the Series 27, Series 28, Series 99TO, and SIE licenses. Rocco previously worked at Morgan Stanley & Co. LLC and Rabo Securities USA, Inc.

Firm Information

Rocco Forlizzi is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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.

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Rocco Forlizzi’s Registration & Firm History

NY

12/09/2020 - Present

Wells Fargo Securities, LLC (New York NY)

NY

05/04/2015 - 12/18/2018

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

04/20/2004 - 10/09/2014

RABO SECURITIES USA, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/02/2023

Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination

BC

Issued 04/06/2004

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

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

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, 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

Disclosures

There are no public disclosures for Rocco Forlizzi.
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