AR
Alicia M. Rocco
GILDER GAGNON HOWE & CO. LLC
New York, NY 10018-1120
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CRD#: 5399718
AR
Professional summary
Alicia Marie Rocco, who also goes by Alicia Marie Romano, is a registered financial professional currently at GILDER GAGNON HOWE & CO. LLC located in New York, New York.
Alicia is registered as a RR (Registered Representative) and started their career in finance in 2011. Alicia has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alicia Marie Romano
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.
CRS (Client Relationship Summary) - BD
Click below to view Alicia Marie Rocco'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 5, 2012 - Present
GILDER GAGNON HOWE & CO. LLC
Office #1: 475 Tenth Avenue 12th Floor, New York, NY 10018-1120Office #2: 475 Tenth Avenue, New York, NY 10018RIA
BD
CRD#: 2002
New York, NY
Past
June 5, 2012 - November 11, 2015
GILDER GAGNON HOWE & CO. LLC
RIA
CRD#: 2002
NEW YORK, NY
Past
March 8, 2012 - May 29, 2012
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
February 10, 2011 - May 29, 2012
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
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".
GILDER GAGNON HOWE & CO. LLC
GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO
CRD#: 2002 / SEC#: 801-65667, 8-30196
RIA
Registered Investment Advisory firm - SEC (1/27/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(2/8/2018)
RR
Alaska(11/11/2015)
RR
Arizona(6/5/2012)
RR
Arkansas(6/5/2012)
RR
California(6/5/2012)
RR
Colorado(6/5/2012)
RR
Connecticut(6/5/2012)
RR
Delaware(6/5/2012)
RR
District of Columbia(6/5/2012)
RR
Florida(6/5/2012)
RR
Georgia(6/5/2012)
RR
Hawaii(11/11/2015)
RR
Idaho(11/11/2015)
RR
Illinois(6/5/2012)
RR
Indiana(6/5/2012)
RR
Iowa(11/11/2015)
RR
Kansas(6/5/2012)
RR
Kentucky(11/11/2015)
RR
Louisiana(6/5/2012)
RR
Maine(6/5/2012)
RR
Maryland(6/5/2012)
RR
Massachusetts(6/5/2012)
RR
Michigan(6/5/2012)
RR
Minnesota(11/11/2015)
RR
Mississippi(11/11/2015)
RR
Missouri(6/5/2012)
RR
Montana(11/11/2015)
RR
Nevada(6/5/2012)
RR
New Hampshire(6/5/2012)
RR
New Jersey(6/5/2012)
RR
New Mexico(6/5/2012)
RR
New York(6/5/2012)
RR
North Carolina(6/11/2012)
RR
North Dakota(10/28/2015)
RR
Ohio(6/6/2012)
RR
Oklahoma(6/5/2012)
RR
Oregon(6/5/2012)
RR
Pennsylvania(6/5/2012)
RR
Rhode Island(11/11/2015)
RR
South Carolina(6/5/2012)
RR
South Dakota(1/28/2014)
RR
Tennessee(6/5/2012)
RR
Texas(6/5/2012)
RR
Utah(11/11/2015)
RR
Vermont(6/5/2012)
RR
Virginia(6/5/2012)
RR
Washington(6/5/2012)
RR
West Virginia(11/11/2015)
RR
Wisconsin(11/11/2015)
RR
Wyoming(11/11/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
GILDER GAGNON HOWE & CO. LLC
GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO
CRD#: 2002 / SEC#: 801-65667, 8-30196
RIA
Registered Investment Advisory firm - SEC (1/27/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
475 Tenth Avenue 12th Floor, New York, NY 10018-1120
Mailing Address
475 Tenth Avenue, New York, NY 10018
Phone number
(212) 765-2500
Established
New York since 01/04/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
88
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOWE, DAVID STEWART | MANAGING MEMBER | 812707 |
| RIZAVI, SHAIZA MARIAM | CHIEF EXECUTIVE OFFICER / MANAGING MEMBER | 2874858 |
| ANDERSON, TRAVIS KNAPP | MANAGING MEMBER | 853424 |
| DEUTSCH, JAMES MICHAEL | CHIEF EXECUTIVE OFFICER/MANAGING MEMBER | 4565264 |
| MCCORMICK, MICHAEL PATRICK | MEMBER | 1857693 |
| ALI, SHAFQAT | CHIEF INFORMATION SECURITY OFFICER/MEMBER | 6009773 |
| ESPOSITO, LAURA MICHELE | CHIEF COMPLIANCE OFFICER | 6727167 |
| HUYNH, DAVID CO | CHIEF FINANCIAL OFFICER | 5443515 |
Regulatory assets under management
| Total Number of Accounts | 8,767 |
| AUM (Assets Under Management) | $ 11,604,602,601 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 09/20/2024 | ||
| 11/10/2023 | ||
| 12/15/2022 |
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.
