DR
Daniela T. Rocha
BTG PACTUAL US CAPITAL
New York, NY 10022-6831
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CRD#: 6445315
DR
Professional summary
Daniela Trindade Rocha, who also goes by Daniela Rocha, Daniela Traguetta Trindade, is a registered financial professional currently at BTG PACTUAL US CAPITAL, LLC located in New York, New York.
Daniela is registered as a RR (Registered Representative) and started their career in finance in 2016. Daniela has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniela Rocha | Daniela Traguetta Trindade
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.
*590933 - Club Pilates ; Investment related - No ; Ramsey,New Jersey ; Education ; Pilates Instructor(proprietor, partner, officer, director, employee, trustee, agent) ; 4/2024 ; During business hours : 0 ; After business hours : 4 ; Labor/Service
CRS (Client Relationship Summary) - BD
Click below to view Daniela Trindade 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
November 4, 2024 - Present
BTG PACTUAL US CAPITAL, LLC
Office #1: 601 Lexington Avenue 57th Floor, New York, NY 10022-6831BD
CRD#: 149486
New York, NY
Past
October 2, 2017 - November 13, 2024
MORGAN STANLEY
RIA
CRD#: 149777
New York, NY
Past
May 19, 2016 - November 13, 2024
MORGAN STANLEY
BD
CRD#: 149777
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(12/4/2024)
RR
Alaska(12/4/2024)
RR
Arizona(12/4/2024)
RR
Arkansas(12/4/2024)
RR
California(12/4/2024)
RR
Colorado(12/4/2024)
RR
Connecticut(12/4/2024)
RR
Delaware(12/4/2024)
RR
District of Columbia(12/4/2024)
RR
Florida(11/4/2024)
RR
Georgia(12/4/2024)
RR
Hawaii(12/4/2024)
RR
Idaho(12/4/2024)
RR
Illinois(12/4/2024)
RR
Indiana(12/4/2024)
RR
Iowa(12/4/2024)
RR
Kansas(12/4/2024)
RR
Kentucky(12/4/2024)
RR
Louisiana(12/4/2024)
RR
Maine(12/4/2024)
RR
Maryland(12/4/2024)
RR
Massachusetts(12/4/2024)
RR
Michigan(12/4/2024)
RR
Mississippi(12/4/2024)
RR
Missouri(12/4/2024)
RR
Montana(12/4/2024)
RR
Nebraska(12/4/2024)
RR
Nevada(12/4/2024)
RR
New Hampshire(12/4/2024)
RR
New Jersey(12/4/2024)
RR
New York(11/4/2024)
RR
North Carolina(12/4/2024)
RR
North Dakota(12/4/2024)
RR
Ohio(12/4/2024)
RR
Oklahoma(12/4/2024)
RR
Oregon(12/4/2024)
RR
Pennsylvania(12/4/2024)
RR
Puerto Rico(12/4/2024)
RR
Rhode Island(12/4/2024)
RR
South Carolina(12/4/2024)
RR
South Dakota(12/4/2024)
RR
Texas(12/4/2024)
RR
Utah(12/4/2024)
RR
Vermont(12/4/2024)
RR
Virgin Islands(12/4/2024)
RR
Washington(12/4/2024)
RR
West Virginia(12/4/2024)
RR
Wisconsin(12/4/2024)
RR
Wyoming(12/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BP
BTG PACTUAL US CAPITAL, LLC
BTG CAPITAL CORP. | BTG SECURITIES CORPORATION | BTG PACTUAL WEALTH MANAGEMENT | BTG PACTUAL US CAPITAL, LLC | BTG PACTUAL US CAPITAL LLC | BTG PACTUAL US CAPITAL CORP. | BTG PACTUAL US
CRD#: 149486 / SEC#: , 8-68148
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
601 Lexington Avenue 57th Floor, New York, NY 10022-6831
Mailing Address
601 Lexington Avenue 57th Floor, New York, NY 10022-6831
Phone number
(212) 293-4600
Established
Delaware since 05/07/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (49 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
