Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocio? Claim Your ProfileRocio Harb is an investment advisor representative with IPG Investment Advisors, LLC. Rocio has been in the financial industry since December 1994 and has experience working with high-net-worth individuals, corporations, and other businesses. Rocio has held previous positions at Wunderlich Securities, Inc. and Dominick & Dominick LLC. Rocio is registered with the Financial Industry Regulatory Authority (FINRA) as a General Securities Principal and holds the Series 7, 9, 10, 24, 63, and 66 licenses. Rocio is also a branch manager at IPG Investment Advisors, LLC, and is responsible for managing a team of investment advisors.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
May select advise on and/or offer private funds and limited partnerships and/or provide family office services
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.
Family office, service , finder's fees $ 12b1 fees via afflt
1
2
FL
07/02/2019 - Present
IPG Investment Advisors, LLC (MIAMI FL)
FL
01/21/2015 - 06/28/2016
WUNDERLICH SECURITIES, INC. (Miami FL)
FL
09/01/2004 - 01/26/2015
DOMINICK & DOMINICK LLC (MIAMI FL)
PA
08/21/2002 - 09/02/2004
FIRST SECURITY INVESTMENTS, INC. (KINGSTON PA)
NJ
12/06/1994 - 08/28/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 06/11/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/13/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/06/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/15/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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