Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocio? Claim Your ProfileRocio Marticorena is a financial advisor with Wells Fargo Clearing Services, LLC. Rocio has been in the financial services industry since 2014. Rocio is registered to provide investment advice in California. Rocio has been with Wells Fargo Clearing Services, LLC since August 2017. Previously, Rocio worked for J.P. Morgan Securities LLC. Rocio has experience providing investment advice to individuals, businesses, and institutions. Rocio is committed to providing her clients with personalized financial advice and guidance.
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.
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2
CA
02/12/2020 - Present
Wells Fargo Clearing Services, LLC (EL DORADO HILLS CA)
CA
03/21/2016 - 01/03/2017
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
11/14/2014 - 02/23/2016
WELLS FARGO ADVISORS, LLC (S SAN FRANCISCO CA)
IA
Issued 02/12/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/05/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/01/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/07/2020
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 10/04/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/14/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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