Maria C. Rocchio
Professional summary
Maria Cecile Rocchio, who also goes by Maria Rocchio, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in San Francisco, California.
Maria is registered as a RR (Registered Representative) and started their career in finance in 1987. Maria has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Maria Cecile Rocchio's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 7, 2019 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 525 Market Street 12th Floor, San Francisco, CA 94105February 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
(5/7/2019)
Exams
Series 8
Date: 1/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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 |
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