Rocio S. Roca
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.
Rocio Solaire Roca was a registered financial professional .
Rocio is a previously registered financial professional and started their career in finance in 2000. Rocio had worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, Series 6TO, SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2022 - September 3, 2025
STATE FARM VP MANAGEMENT CORP.
November 30, 2020 - March 9, 2021
OPPENHEIMER & CO. INC.
December 1, 2011 - March 9, 2021
OPPENHEIMER & CO. INC.
July 28, 2009 - September 27, 2011
REUVEN ENTERPRISES SECURITIES DIVISION, LLC
September 19, 2007 - May 2, 2008
REUVEN ENTERPRISES SECURITIES DIVISION, LLC
April 2, 2004 - December 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2001 - April 2, 2004
ABN AMRO INCORPORATED
January 18, 2000 - June 18, 2001
ABN AMRO SECURITIES LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 25
Date: 1/17/2002
NYSE Trading Assistant ExaminationCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WIEDUWILT, ANDREW PATRICK | VICE PRESIDENT | 8074278 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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