Brett F. Rocine

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CRD#: 5223231

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.

Brett Fletcher Rocine, who also goes by Brett F Rocine, Brett Fletcher Rocine, was a registered financial professional .

Brett is a previously registered financial professional and started their career in finance in 2006. Brett had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brett F Rocine | Brett Fletcher Rocine

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 16, 2024 - May 8, 2024

DELTA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 149596

San Francisco, CA

Past

February 17, 2022 - June 5, 2024

GKV CAPITAL MANAGEMENT CO INC

RIA

CRD#: 108767

WALNUT CREEK, CA

Past

July 20, 2017 - June 18, 2021

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

TIBURON, CA

Past

July 20, 2017 - June 18, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

TIBURON, CA

Past

January 17, 2013 - July 28, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

LARKSPUR, CA

Past

January 2, 2013 - July 27, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

LARKSPUR, CA

Past

September 20, 2011 - December 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TIBURON, CA

Past

September 20, 2011 - December 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TIBURON, CA

Past

January 12, 2011 - June 29, 2011

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

MILL VALLEY, CA

Past

January 12, 2011 - June 29, 2011

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

MILL VALLEY, CA

Past

August 29, 2008 - October 19, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

BELVEDERE, CA

Past

February 4, 2008 - October 19, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

BELVEDERE, CA

Past

July 19, 2007 - February 5, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CONCORD, CA

Past

December 21, 2006 - July 11, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

BELVEDERE, 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".

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/28/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2006

General Securities Representative Examination

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

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Contact information

Main Address

708 Montgomery Street, San Francisco, CA 94111

Mailing Address

204 E. 2nd Avenue, #906, San Mateo, CA 94401

Phone number

(415) 249-6337

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (6/13/2025)

BROCHURE SUPPLEMENT - ANDREW HOUGHTON (6/13/2025)

BROCHURE SUPPLEMENT - NICHOLAS ATKESON (6/13/2025)

Regulatory assets under management

Total Number of Accounts	2,625
AUM (Assets Under Management)	$ 770,787,222

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.

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Firm Stability Insights

Brett F. Rocine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GKV CAPITAL MANAGEMENT CO INC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

DELTA INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2008

Series 63

Date: 9/5/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2006

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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