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AR

Amanda L. Rocca

HIGHLINE WEALTH PARTNERS
Sherman Oaks, CA 91403
Some features on this profile are disabled
CRD#: 2426663
AR

Professional summary

Amanda Laurel Rocca, who also goes by Amanda L Rocca, Amanda Laurel Rocca Ms., Mandy Rocca, Amanda Laurel Rocco, is a registered financial advisor currently at HIGHLINE WEALTH PARTNERS located in Sherman Oaks, California.

Amanda is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Amanda has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Amanda L Rocca | Amanda Laurel Rocca Ms. | Mandy Rocca | Amanda Laurel Rocco

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) - RIA

Click below to view Amanda Laurel Rocca'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

March 26, 2024 - Present

HIGHLINE WEALTH PARTNERS

Office #1: 15260 Ventura Blvd., Suite 855, Sherman Oaks, CA 91403
RIA
CRD#: 284712
Sherman Oaks, CA
Past

November 13, 2023 - March 15, 2024

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
San Diego, CA
Past

November 10, 2023 - March 15, 2024

AW SECURITIES

BD
CRD#: 103747
FOLSOM, CA
Past

March 2, 2017 - November 15, 2023

M. S. HOWELLS & CO.

BD
CRD#: 104100
SOLANA BEACH, CA
Past

August 18, 2010 - April 27, 2015

MORGAN STANLEY

BD
CRD#: 149777
SAN DIEGO, CA
Past

October 31, 2008 - August 3, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LA JOLLA, CA
Past

April 2, 2007 - November 5, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
LA JOLLA, CA
Past

June 2, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
LAJOLLA, CA
Past

July 26, 1999 - June 2, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 20, 1998 - July 23, 1999

FIRST WALL STREET CORP.

BD
CRD#: 13024
LA JOLLA, CA
Past

April 7, 1997 - October 6, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HW
HIGHLINE WEALTH PARTNERS
CHARLESWORTH & RUGG, INC. | HIGHLINE WEALTH PARTNERS, LLC | HIGHLINE WEALTH PARTNERS

CRD#: 284712 / SEC#: 801-108350

RIA
Registered Investment Advisory firm - (9/6/2016 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(3/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/1997
General Securities Representative Examination

Current Firm

HW
HIGHLINE WEALTH PARTNERS
CHARLESWORTH & RUGG, INC. | HIGHLINE WEALTH PARTNERS, LLC | HIGHLINE WEALTH PARTNERS

CRD#: 284712 / SEC#: 801-108350

RIA
Registered Investment Advisory firm - (9/6/2016 Approved)
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Contact information

Main Address
15260 Ventura Blvd., Suite 855, Sherman Oaks, CA 91403
Mailing Address
Phone number
(818) 340-0157
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025 02 28 HIGHLINE WEALTH PARTNERS FORM ADV PART 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts832
AUM (Assets Under Management)$ 665,649,057

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.

Company Information

HIGHLINE WEALTH PARTNERS

CRD#: 284712Sherman Oaks, CA 91403

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