Rolando R. Rocha
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.
Rolando Ramiro Rocha was a registered financial professional .
Rolando is a previously registered financial professional and started their career in finance in 1997. Rolando had worked at 5 firms and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2012 - October 5, 2012
BROKERBANK SECURITIES, INC.
December 16, 2008 - February 19, 2010
LONE STAR SECURITIES, INC.
August 16, 2007 - January 22, 2008
TRINITY SECURITIES, INC.
April 20, 2007 - August 30, 2007
EMERALD VENTURES, LLC
June 20, 1997 - April 19, 2007
THE TIDAL GROUP, INC.
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
BROKERBANK SECURITIES, INC.
CRD#: 130116 / SEC#: , 8-66310
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WRIGHT, PHILIP PAUL | CEO AND CHIEF COMPLIANCE OFFICER | 2453688 |
| COMMUNITYLEADER, INC. | C CORPORATION |
Disclosures
| Regulatory Event | 5 |
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.
