James P. Rocchio

CASTLE HILL CAPITAL PARTNERS

New York, NY 10017

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CRD#: 2255907

Professional summary

James Paul Rocchio is a registered financial professional currently at CASTLE HILL CAPITAL PARTNERS, INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Paul Rocchio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 7, 2018 - Present

CASTLE HILL CAPITAL PARTNERS, INC.

Office #1: 216 East 45th Street, Suite 1301, New York, NY 10017

CRD#: 665

MINNEAPOLIS, MN

Past

January 27, 1993 - April 18, 1996

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(2/22/2024)

California
(5/7/2018)

Connecticut
(4/22/2024)

Delaware
(5/9/2024)

Florida
(11/2/2022)

Illinois
(10/27/2025)

Maryland
(11/2/2022)

New Jersey
(11/2/2022)

New York
(4/22/2024)

North Dakota
(4/11/2023)

Pennsylvania
(4/22/2024)

Tennessee
(11/2/2022)

Texas
(4/22/2024)

Virginia
(11/27/2020)

Washington
(10/27/2025)

Exams

State Security Law Exam

Series 63

Date: 1/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CASTLE HILL CAPITAL PARTNERS, INC.

BOUCHEY & ASSOCIATES, INC. | CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131 / SEC#: , 8-50550

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

216 East 45th Street, Suite 1301, New York, NY 10017

Mailing Address

216 East 45th Street, Suite 1301, New York, NY 10017

Phone number

(212) 784-6104

Established

New York since 09/05/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAUNDERS, ANDREW O'BRIEN	PRESIDENT	5690785
WEBSTER, GEOFFREY LEHMAN	PRINCIPAL OPERATING OFFICER, PRINCIPAL FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	2561071

Red Flags

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James P. Rocchio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Paul Rocchio's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

VIRTU AMERICAS LLC

KNIGHT CAPITAL AMERICAS, L.P.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

JPMSI

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

PACIFIC GROWTH EQUITIES, LLC

PIPER SANDLER & CO.

WELLS FARGO SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/5/1993

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1992

FINRA

Current Firm

CASTLE HILL CAPITAL PARTNERS, INC.

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CASTLE HILL CAPITAL PARTNERS, INC.

TRUST BUT VERIFY

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