Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Roccograndi is a financial professional with over 20 years of experience in the financial services industry. Thomas is currently registered with Charles Schwab & Co., Inc. and has held previous positions with several other firms including H.D. VEST INVESTMENT SERVICES, CAPITAL INVESTMENT GROUP, INC. and BB&T INVESTMENT SERVICES, INC. Thomas holds several licenses including Series 7, 63, 66, 10, 9 and 24. Thomas provides a variety of financial services to clients including financial planning, selection of other advisors and portfolio management.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
MD
01/02/2019 - Present
Charles Schwab & CO., Inc. (Hagerstown MD)
WV
03/18/2010 - 12/31/2010
H.D. VEST INVESTMENT SERVICES (FALLING WATERS WV)
NC
06/22/2007 - 04/15/2008
CAPITAL INVESTMENT GROUP, INC. (SOUTHERN SHORES NC)
MD
05/16/2003 - 11/08/2006
BB&T INVESTMENT SERVICES, INC. (FREDERICK MD)
OH
09/23/2002 - 05/23/2003
THE HUNTINGTON INVESTMENT COMPANY (COLUMBUS OH)
MA
04/01/2002 - 08/15/2002
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MA
02/01/2001 - 08/14/2001
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MN
11/22/1999 - 03/21/2000
BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
MO
09/10/1999 - 10/26/1999
EDWARD JONES (ST. LOUIS MO)
BOTH
Issued 11/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/03/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/12/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/09/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Thomas Roccograndi is the right advisor for you? Invested Better is here to help.
