Javier M. Rocio
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.
Javier Michael Rocio, who also goes by Jay Rocio, was a registered financial professional .
Javier is a previously registered financial professional and started their career in finance in 2001. Javier had worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2006 - May 13, 2013
ICBC STANDARD SECURITIES INC.
October 29, 2004 - December 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2004 - December 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2001 - August 19, 2002
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ICBC STANDARD SECURITIES INC.
CRD#: 35560 / SEC#: , 8-46816
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
