Rocio C. Harb

IPG INVESTMENT ADVISORS

MIAMI, FL

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CRD#: 2426842

Professional summary

Rocio C Harb, who also goes by Rocio Ayala, Rocio Harb, Rocio Perrera, is a registered financial advisor currently at IPG INVESTMENT ADVISORS, LLC located in Miami, Florida and INVESTMENT PLACEMENT GROUP located in Miami, Florida.

Rocio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Rocio has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rocio Ayala | Rocio Harb | Rocio Perrera

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.

BRANCH MANAGER OF IPG INVESTMENT ADVISORS, LLC., INVESTMENT RELATED, LOCATED AT 501 W BROADWAY, SUITE 1350 SAN DIEGO, CA 92101 INVESTMENT ADVISOR REPRESENTATIVE (IAR) DEVOTES ROUGHLY 20 HOURS A WEEK, AS MUCH AS 4 HOURS A DAY DURING TRADING HOURS TO THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rocio C Harb'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

July 2, 2019 - Present

IPG INVESTMENT ADVISORS, LLC

RIA

CRD#: 152990

MIAMI, FL

Current

July 20, 2016 - Present

INVESTMENT PLACEMENT GROUP

Office #1: 80 Sw 8th Street Suite 2660, Miami, FL 33130

CRD#: 14458

Miami, FL

Past

July 2, 2019 - December 31, 2022

IPG INVESTMENT ADVISORS, LLC

RIA

CRD#: 152990

MIAMI, FL

Past

March 5, 2015 - June 28, 2016

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

Miami, FL

Past

January 21, 2015 - June 28, 2016

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Miami, FL

Past

September 1, 2004 - January 26, 2015

DOMINICK & DICKERMAN LLC

CRD#: 7344

MIAMI, FL

Past

August 21, 2002 - September 2, 2004

FIRST SECURITY INVESTMENTS, INC.

CRD#: 24035

KINGSTON, PA

Past

December 6, 1994 - August 28, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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".

IPG INVESTMENT ADVISORS, LLC

CRD#: 152990 / SEC#: 801-71104

RIA

Registered Investment Advisory firm - (3/3/2010 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.

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

California
(7/20/2016)

Colorado
(9/23/2016)

Connecticut
(9/23/2016)

District of Columbia
(10/14/2016)

Florida
(7/20/2016)

IAR

Florida
(7/2/2019)

Georgia
(9/27/2016)

Maryland
(9/30/2016)

New Jersey
(7/20/2016)

New York
(7/20/2016)

North Carolina
(10/3/2016)

Oregon
(10/7/2016)

Puerto Rico
(10/18/2016)

Texas
(7/20/2016)

Washington
(10/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/11/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/13/1995

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: 10/3/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 6/17/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/6/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/2003

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

IPG INVESTMENT ADVISORS, LLC

CRD#: 152990 / SEC#: 801-71104

RIA

Registered Investment Advisory firm - (3/3/2010 Approved)

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Contact information

Main Address

501 West Broadway Suite 1350, San Diego, CA 92101

Mailing Address

Phone number

(619) 326-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IPG INVESTMENT ADVISORS LLC FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,154
AUM (Assets Under Management)	$ 3,818,509,733

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.

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Rocio C. Harb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rocio C Harb's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT PLACEMENT GROUP

IPG INVESTMENT ADVISORS, LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

DOMINICK & DICKERMAN LLC

FIRST SECURITY INVESTMENTS, INC.

PERSHING LLC

Primary Firm SEC Registration

IPG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2019

Series 63

Date: 2/13/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/3/1994

Series 9

Date: 6/17/2013

Series 10

Date: 5/6/2013

Series 24

Date: 5/15/2003

FINRA

Nasdaq Stock Market

Current Firm

IPG INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IPG INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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