Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocio? Claim Your ProfileRocio Cobas is a financial advisor with Wells Fargo Clearing Services, LLC. Rocio has been working in the financial industry since 2001. Rocio is a registered representative with FINRA and is also licensed in Florida and Georgia. Rocio has held previous roles at EFG Capital International, Chase Investment Services Corp. and Citigroup Global Markets Inc. Rocio is a Series 7, 9, 10, 63, 99TO and SIE licensed advisor.
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.
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.
Investment consulting services to institutional clients
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
FL
01/26/2023 - Present
Wells Fargo Clearing Services, LLC (MIAMI FL)
FL
03/27/2012 - 06/06/2022
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
FL
07/13/2010 - 11/15/2011
EFG CAPITAL INTERNATIONAL (MIAMI FL)
NY
12/05/2008 - 06/30/2010
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
07/11/2006 - 11/06/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
FL
10/09/2001 - 01/11/2006
CITIGROUP GLOBAL MARKETS INC. (CORAL GABLES FL)
NY
02/14/2001 - 10/18/2001
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BC
Issued 03/16/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/21/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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