Maria C. Rocchio
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Maria Cecile Rocchio, who also goes by Maria Rocchio, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1987. Maria had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2019 - July 6, 2026
ALLSPRING FUNDS DISTRIBUTOR, LLC
February 27, 2019 - April 1, 2019
FORESIDE FUNDS DISTRIBUTORS LLC
March 25, 2010 - January 11, 2018
BLACKROCK INVESTMENTS, LLC
December 23, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
April 20, 2007 - September 16, 2014
BLACKROCK EXECUTION SERVICES
September 25, 1996 - March 14, 2007
CHARLES SCHWAB & CO., INC.
March 25, 1994 - December 13, 1995
GRIFFIN FINANCIAL SERVICES
July 2, 1993 - August 16, 1993
HAMBRECHT & QUIST LLC
June 2, 1992 - July 21, 1993
FSC SECURITIES CORPORATION
March 11, 1989 - June 12, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 24, 1987 - October 3, 1988
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
