Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocio? Claim Your ProfileRocio P. Gonzales is an active investment advisor representative and a registered representative. Rocio has been in the securities industry for 11 years and has been associated with J.P. Morgan Securities LLC since February 2024. Rocio has previously been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Clearing Services, LLC. Rocio holds the Series 6, Series 7TO, Series 63, and Series 65 licenses. Rocio's experience and expertise make them a valuable resource for clients seeking investment advice.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
UT
02/12/2024 - Present
J.p. Morgan Securities LLC (WEST JORDAN UT)
UT
11/13/2019 - 02/08/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RIVERTON UT)
TX
11/05/2012 - 11/04/2019
WELLS FARGO CLEARING SERVICES, LLC (ROCKWALL TX)
IA
Issued 04/10/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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