Rocco R. Quintana
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.
Rocco R Quintana, who also goes by Rocco Quintana, Rocky Quintana, was a registered financial professional .
Rocco is a previously registered financial professional and started their career in finance in 1996. Rocco had worked at 7 firms and has passed the Series 66, 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
September 20, 2012 - February 8, 2013
VOYA FINANCIAL ADVISORS, INC.
August 31, 2012 - February 8, 2013
VOYA FINANCIAL ADVISORS, INC.
August 11, 2011 - December 15, 2011
VOYA FINANCIAL ADVISORS, INC.
July 24, 2008 - December 10, 2009
VOYA FINANCIAL ADVISORS, INC.
July 9, 2008 - December 10, 2009
VOYA FINANCIAL ADVISORS, INC.
March 21, 2007 - June 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2007 - June 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 7, 2005 - March 3, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
October 7, 2005 - March 3, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
May 2, 2003 - October 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 2, 2003 - October 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 3, 2002 - May 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2002 - May 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 1998 - December 7, 2001
PRUDENTIAL EQUITY GROUP, LLC
April 18, 1996 - October 13, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
