Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocco? Claim Your ProfileRocco Pietropaolo is a financial advisor with over 30 years of experience in the industry. Rocco is currently registered with UBS Financial Services Inc. and is licensed in New York and Texas. Rocco has previously worked with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Morgan Stanley DW Inc. Rocco offers a range of financial services, including portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. Rocco is a member of the Canandaigua Emergency Squad and has been involved in the community for many years.
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.
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.
See schedule d - miscellaneous
1
2
NY
03/13/2012 - Present
UBS Financial Services Inc. (ROCHESTER NY)
NY
06/01/2009 - 01/06/2012
MORGAN STANLEY SMITH BARNEY (ROCHESTER NY)
NY
03/25/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GENEVA NY)
NY
11/20/1991 - 03/26/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 03/12/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/23/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/02/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2004
Series 3 - National Commodity Futures Examination
BC
Issued 09/28/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 11/19/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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