Emiliano Rocha
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.
Emiliano Rocha JR, who also goes by Emil Rocha Jr, Emil Rocha, Emiliano Rocha, was a registered financial advisor .
Emiliano is a previously registered financial advisor and started their career in finance in 1990. Emiliano had worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2011 - July 9, 2013
INVEST FINANCIAL CORPORATION
October 20, 2011 - July 9, 2013
INVEST FINANCIAL CORPORATION
November 14, 2008 - October 28, 2009
U.S. BANCORP ADVISORS, LLC
November 14, 2008 - October 28, 2009
U.S. BANCORP ADVISORS, LLC
September 22, 2008 - November 13, 2008
AMERIPRISE ADVISOR SERVICES, INC.
July 18, 2008 - November 13, 2008
AMERIPRISE ADVISOR SERVICES, INC.
February 14, 2008 - July 23, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
February 14, 2008 - July 23, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
July 17, 2002 - February 4, 2008
WAMU INVESTMENTS, INC.
May 14, 2002 - February 4, 2008
WAMU INVESTMENTS, INC.
May 2, 2001 - April 18, 2002
WELLS FARGO INVESTMENTS, LLC
August 27, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
November 14, 1995 - May 30, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 1995 - October 17, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - January 12, 1995
CITIGROUP GLOBAL MARKETS INC.
March 14, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
February 22, 1991 - March 26, 1991
MORGAN STANLEY DW INC.
February 13, 1990 - February 5, 1991
LEHMAN BROTHERS 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
