Rocco P. Taraborrelli
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.
Rocco Paul Taraborrelli was a registered financial professional .
Rocco is a previously registered financial professional and started their career in finance in 1988. Rocco had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2018 - October 27, 2022
GUARDIAN POINTE PRIVATE WEALTH MANAGEMENT, LLC
January 13, 2016 - December 31, 2017
OSAIC FS, INC.
January 4, 2016 - December 31, 2017
OSAIC FS, INC.
July 18, 2007 - December 31, 2015
CETERA ADVISORS LLC
July 18, 2007 - December 31, 2015
CETERA ADVISORS LLC
March 7, 2003 - July 18, 2007
LEGACY ADVISORY SERVICES, INC.
March 5, 2003 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
July 3, 2002 - March 11, 2003
EASTERN POINT ADVISORS INC.
June 16, 1998 - March 11, 2003
INVESTORS CAPITAL CORP.
October 1, 1997 - June 14, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
October 16, 1992 - October 1, 1997
USLIFE EQUITY SALES CORP.
July 20, 1988 - August 25, 1992
PFS INVESTMENTS 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
Current Firm
GUARDIAN POINTE PRIVATE WEALTH MANAGEMENT, LLC
CRD#: 284460 / SEC#: 801-110920
Contact information
Regulatory assets under management
| Total Number of Accounts | 256 |
| AUM (Assets Under Management) | $ 30,508,297 |
Red Flags
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