AR
Andrew Rocha
WELLS FARGO SECURITIES
New York, NY 10001
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CRD#: 5720561
AR
Professional summary
Andrew Rocha, who also goes by Andrew J Rocha, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2015. Andrew has worked at 4 firms and has passed the Series 63, Series 82TO, Series 6TO, Series 99TO, Series 22TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew J Rocha
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 Andrew Rocha'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 19, 2022 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001BD
CRD#: 126292
New York, NY
Past
November 22, 2019 - September 19, 2022
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
November 14, 2016 - December 4, 2019
INSTINET, LLC
BD
CRD#: 7897
NEW YORK, NY
Past
July 9, 2015 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
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(9/19/2022)
RR
Alaska(9/19/2022)
RR
Arizona(9/19/2022)
RR
Arkansas(9/19/2022)
RR
California(9/19/2022)
RR
Colorado(9/19/2022)
RR
Connecticut(9/19/2022)
RR
Delaware(9/19/2022)
RR
District of Columbia(9/19/2022)
RR
Florida(9/19/2022)
RR
Georgia(9/19/2022)
RR
Hawaii(9/19/2022)
RR
Idaho(9/19/2022)
RR
Illinois(9/19/2022)
RR
Indiana(9/19/2022)
RR
Iowa(9/19/2022)
RR
Kansas(9/19/2022)
RR
Kentucky(9/19/2022)
RR
Louisiana(9/19/2022)
RR
Maine(9/19/2022)
RR
Maryland(9/19/2022)
RR
Massachusetts(9/19/2022)
RR
Michigan(9/19/2022)
RR
Minnesota(9/19/2022)
RR
Mississippi(9/19/2022)
RR
Missouri(9/19/2022)
RR
Montana(9/19/2022)
RR
Nebraska(9/19/2022)
RR
Nevada(9/19/2022)
RR
New Hampshire(9/19/2022)
RR
New Jersey(9/19/2022)
RR
New Mexico(9/19/2022)
RR
New York(9/19/2022)
RR
North Carolina(9/19/2022)
RR
North Dakota(9/19/2022)
RR
Ohio(9/19/2022)
RR
Oklahoma(9/19/2022)
RR
Oregon(9/19/2022)
RR
Pennsylvania(9/19/2022)
RR
Puerto Rico(9/19/2022)
RR
Rhode Island(9/19/2022)
RR
South Carolina(9/19/2022)
RR
South Dakota(9/19/2022)
RR
Tennessee(9/19/2022)
RR
Texas(9/19/2022)
RR
Utah(9/19/2022)
RR
Vermont(9/19/2022)
RR
Virgin Islands(9/19/2022)
RR
Virginia(9/19/2022)
RR
Washington(9/19/2022)
RR
West Virginia(9/19/2022)
RR
Wisconsin(9/19/2022)
RR
Wyoming(9/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
CRD#: 126292 / SEC#: , 8-65876
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
