Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocio? Claim Your ProfileRocio Tapia is a financial professional registered with Northwestern Mutual Investment Services, LLC. Rocio has been in the financial services industry since 2009. Rocio holds Series 6, Series 63 and SIE licenses and has been registered in 6 states. Rocio is currently licensed in California, Minnesota, Pennsylvania, Texas, Virginia and Washington. Rocio is based in Redwood City, California.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
CA
11/27/2009 - Present
Northwestern Mutual Investment Services, LLC (REDWOOD CITY CA)
BC
Issued 04/03/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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