Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocco? Claim Your ProfileRocco Papandrea is a financial advisor with over 30 years of experience in the financial services industry. Papandrea has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since January of 1995. Prior to that, Papandrea worked at Smith Barney Inc., Lehman Brothers Inc. and First Investors Corporation. Rocco Papandrea is registered to provide investment advice in New York and Texas. Papandrea also holds Series 3, 6, 7, and 63 licenses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
01/24/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
07/31/1993 - 01/27/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
06/10/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
05/14/1990 - 10/30/1991
FIRST INVESTORS CORPORATION (EDISON NJ)
IA
Issued 06/23/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/01/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/1992
Series 3 - National Commodity Futures Examination
BC
Issued 06/08/1992
Series 7 - General Securities Representative Examination
BC
Issued 05/11/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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