JR
Jennifer R. Rocci
CAPITAL CLIENT GROUP
Los Angeles, CA 90071-1447
Some features on this profile are disabled
CRD#: 4775060
JR
Professional summary
Jennifer Rebecca Rocci, who also goes by Jennifer Rebecca Ford, Jennifer Ford, Jennifer Rebecca Rocci, Jennifer Rocci Rocci, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jennifer has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jennifer Rebecca Ford | Jennifer Ford | Jennifer Rebecca Rocci | Jennifer Rocci Rocci
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.
ETSY POSHMARK AND E-BAY POSITION: Re-seller NATURE: My mom and I have come across and purchased several lovely items, high quality that would fetch a nice price on resale. I'm only a hobbyist but it can be lucrative, so I wanted to report it. I'll be selling housewares, clothing and accessories. We find amazing things while traveling, on vacation, and weekends. Not during business hours. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2025 ADDRESS: 2175 River Cliff Drive, Roswell GA 30076, United States DESCRIPTION: Weekends and while traveling/on vacation
CRS (Client Relationship Summary) - RIA
Click below to view Jennifer Rebecca Rocci's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jennifer Rebecca Rocci'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
September 30, 2019 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447RIA
BD
CRD#: 6247
Los Angeles, CA
Current
September 27, 2019 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447RIA
BD
CRD#: 6247
Los Angeles, CA
Past
December 1, 2015 - August 29, 2019
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Concord, CA
Past
November 30, 2015 - August 29, 2019
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
October 7, 2011 - November 10, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PLEASANTON, CA
Past
October 6, 2011 - November 10, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLEASANTON, CA
Past
October 28, 2009 - March 23, 2011
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
REDWOOD SHORES, CA
Past
April 19, 2006 - August 28, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
SAN RAMON, CA
Past
March 23, 2004 - August 28, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SAN RAMON, CA
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".
CAPITAL CLIENT GROUP, INC.
AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
RIA
Registered Investment Advisory firm - SEC (4/25/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
RR
Alabama(11/4/2021)
RR
California(2/26/2020)
IAR
California(9/20/2021)
RR
Florida(11/4/2021)
RR
Georgia(11/4/2021)
RR
Iowa(4/4/2025)
RR
North Carolina(11/4/2021)
RR
South Carolina(11/4/2021)
RR
Tennessee(4/4/2025)
RR
Texas(9/27/2019)
RR
Virginia(11/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
RIA
Registered Investment Advisory firm - SEC (4/25/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
333 S. Hope St. 55th Fl. 55th Floor, Los Angeles, CA 90071-1406
Mailing Address
333 S. Hope St. 55th Fl., Los Angeles, CA 90071
Phone number
(213) 486-9200
Established
California since 05/09/1972
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
911
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
