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Gabriela S. Rocha

IDB CAPITAL
Aventura, FL 33180
Some features on this profile are disabled
CRD#: 5574612
GR

Professional summary

Gabriela Santos Rocha, who also goes by Gabriela Rocha Puscar, is a registered financial professional currently at IDB CAPITAL CORP. located in Aventura, Florida.

Gabriela is registered as a RR (Registered Representative) and started their career in finance in 2008. Gabriela has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gabriela Rocha Puscar

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) - BD

Click below to view Gabriela Santos Rocha's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 24, 2022 - Present

IDB CAPITAL CORP.

Office #1: 18851 Ne 29th Avenue Suite 600, Aventura, FL 33180
BD
CRD#: 106032
Aventura, FL
Past

September 17, 2020 - June 9, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MIAMI, FL
Past

August 25, 2020 - June 9, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMI, FL
Past

September 20, 2017 - March 19, 2020

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
MIAMI, FL
Past

June 1, 2009 - June 14, 2010

MORGAN STANLEY

BD
CRD#: 149777
MIAMI, FL
Past

November 20, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
MIAMI, FL

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
California
(6/24/2022)
RR
Connecticut
(6/24/2022)
RR
Florida
(6/24/2022)
RR
New Jersey
(6/24/2022)
RR
New York
(6/24/2022)
RR
Pennsylvania
(3/6/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IC
IDB CAPITAL CORP.
ALEXANDRA & JAMES CO. | IDB CAPITAL CORP. | IDB ASSET MANAGEMENT, A DIVISION OF IDB CAPITAL CORP. | ALEXANDRA & JAMES CO.

CRD#: 106032 / SEC#: , 8-53000

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1114 Avenue Of The Americas, New York, NY 10036
Mailing Address
1114 Avenue Of The Americas, New York, NY 10036
Phone number
(212) 551-8800
Established
New York since 09/11/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ISRAEL DISCOUNT BANK OF NEW YORKSOLE SHAREHOLDER
CASE, LESLIE KATHRYNSECRETARY6058280
CLANCY, PATRICIA ANNECHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER2753700
FRAHER, NANCY ANNDIRECTOR6132794
GRANT, EDMOND FDIRECTOR4058518
KIM, EDWARD SANGFINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER6702617
POLSHIKOV, ALEX ROSSPRESIDENT, CHIEF EXECUTIVE OFFICER, AND INTERIM CHAIRMAN OF THE BOARD5118208
ROBERTS, DANIEL GDIRECTOR6986015
TREBLE, TIMOTHYCHIEF COMPLIANCE OFFICER AND DIRECTOR1699773

Disclosures

Regulatory Event1

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.

Company Information

IDB CAPITAL CORP.

CRD#: 106032Aventura, FL 33180

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