AR
Anthony T. Rocha
PFG ADVISORS
Peoria, AZ 85382
Some features on this profile are disabled
CRD#: 2809954
AR
Professional summary
Anthony Theodore Rocha, who also goes by Tony Rocha, is a registered financial advisor currently at PFG ADVISORS located in Peoria, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Scottsdale, Arizona.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Anthony has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Rocha
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.
COPPER STATE WEALTH MANAGEMENT POSITION: financial advisor NATURE: Copper State Wealth Management DBA*it has already been filed as a DBA for the SAI approved independent RIA - PFG Advisors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 5 START DATE: 01/11/2021 ADDRESS: 18559 N 59th Ave, Glendale AZ 85308 DESCRIPTION: all brokerage, advisory, insurance, and any financial advisor or planning services will now be conducted under the new DBA PFG ADVISORS POSITION: Investment Advisor NATURE: Advisory services through PFG Advisors, Charles Schwab, and Assetmark. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2020 ADDRESS: 16150 N. Arrowhead Fountains Center Dr., Suite 289, Peoria AZ 85282 DESCRIPTION: providing investment advisory services via Schwab and Assetmark INSURANCE SALES POSITION: financial advisor NATURE: providing life insurance and long-term care product to clients INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2017 ADDRESS: 18559 N. 59th Ave., Glendale AZ 85308 DESCRIPTION: providing insurance product advice to clients COPPER STATE CREDIT UNION POSITION: financial advisor NATURE: Financial Advisor services for members or credit union INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2020 ADDRESS: 18559 N. 59th Ave, Glendale AZ 85308 DESCRIPTION: providing investment and financial planning advice DBA - Rocha Wealth Advisors
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Theodore Rocha's 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®
NoneExperience
Current
June 23, 2020 - Present
PFG ADVISORS
Office #1: 16150 N. Arrowhead Fountains Center Dr. Suite 345, Peoria, AZ 85382RIA
CRD#: 173344
Peoria, AZ
Current
November 6, 2025 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 7333 E Doubletree Ranch Rd Ste 120, Scottsdale, AZ 85258RIA
BD
CRD#: 20804
Scottsdale, AZ
Past
June 14, 2024 - November 7, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
PEORIA, AZ
Past
October 10, 2017 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PEORIA, AZ
Past
January 20, 2009 - October 11, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
PHOENIX, AZ
Past
January 29, 2008 - January 14, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SUN CITY, AZ
Past
May 14, 2007 - January 14, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SUN CITY, AZ
Past
March 17, 2003 - May 8, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
SCOTTSDALE, AZ
Past
September 16, 2002 - March 17, 2003
SCOTTSDALE CAPITAL ADVISORS CORP
BD
CRD#: 118786
SCOTTSDALE AZ, AZ
Past
February 3, 1999 - October 10, 2002
GAINEY FINANCIAL SERVICES, INC.
BD
CRD#: 27968
SCOTTSDALE, AZ
Past
October 16, 1996 - February 2, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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".
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
Registered Investment Advisory firm - (12/1/2014 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.RR
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
IAR
Arizona(6/23/2020)
RR
Arizona(11/6/2025)
RR
California(11/6/2025)
RR
Colorado(11/6/2025)
RR
Connecticut(11/6/2025)
RR
Florida(11/6/2025)
RR
Georgia(11/6/2025)
RR
Indiana(11/6/2025)
RR
Kansas(11/6/2025)
RR
Michigan(11/6/2025)
RR
Minnesota(11/6/2025)
RR
Montana(11/6/2025)
RR
Nebraska(11/6/2025)
RR
Nevada(11/6/2025)
RR
New Jersey(11/6/2025)
RR
New Mexico(11/6/2025)
RR
Ohio(11/6/2025)
RR
Oregon(11/6/2025)
RR
South Dakota(11/6/2025)
IAR
Texas(3/25/2024)
RR
Texas(11/6/2025)
RR
Vermont(11/6/2025)
RR
Virginia(11/6/2025)
RR
Washington(11/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
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Contact information
Main Address
3200 N. Central Ave Suite #200, Phoenix, AZ 85012
Mailing Address
Phone number
(800) 405-8850
Established
Firm type
Fiscal year end
# of Employees
119
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,550 |
| AUM (Assets Under Management) | $ 3,083,491,501 |
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.
