RE
Rocio Espinosa
ASSET ALLOCATION STRATEGIES
MIAMI BEACH, FL
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CRD#: 7477761
RE
Professional summary
Rocio Espinosa, who also goes by Rocio Espinosa-quiroz, Rocio Tafur, is a registered financial advisor currently at ASSET ALLOCATION STRATEGIES, LLC located in Miami Beach, Florida and GLP INVESTMENT SERVICES, LLC located in Farmington, Michigan.
Rocio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Rocio has worked at 2 firms and has passed the Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rocio Espinosa-Quiroz | Rocio Tafur
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.
(1) VALUTEACHERS. INVESTMENT-RELATED. ADDRESS: 90 FORT WADE RD. SUITE 116, PONTE VEDRA BEACH, FL 32081. NATURE: INSURANCE SALES. POSITION: NATIONAL SALES DIRECTOR. START DATE: AUGUST 2013. HOURS DEVOTED PER MONTH: 120. DUTIES: SELLING FIXED-INDEXED ANNUITY 403Bs IN SCHOOL DISTRICTS AND LIFE INSURANCE SALES. (2) ASSET ALLOCATION STRATEGIES, LLC; INVESTMENT RELATED; LOCATED IN MIAMI BEACH, FL - SUPERVISED FROM FARMINGTON, MI; NATURE: INVESTMENT ADVISOR; POSITION: IAR; START DATE: 02/2022; APX 15 HRS/MO., 15 HRS DURING TRADING HOURS; DUTIES: SOLICIT, SERVICE, ACTIVELY MANAGE ADVISORY ACCOUNTS/CLIENTS. (3) FINANCIAL WELLNESS CORP; INVESTMENT RELATED; MIAMI BEACH, FL; DBA FOR WORK DONE THROUGH VALUTEACHERS; CEO; START DATE: 08/2021; APX. 2 HRS PER MONTH; DUTIES: DBA FOR WORK DONE THROUGH VALUTEACHERS. (4)VILLAS AT THE HAMOCKS LLC.; INVESTMENT RELATED; MIAMI BEACH, FL; REAL ESTATE, OWN/RENT/MANAGE PROPERTY; CEO; START DATE: 08/2022; APX. 1HR PER MONTH; DUTIES: COLLECT RENT AND FIX ANY MAINTENANCE ISSUES.
CRS (Client Relationship Summary) - RIA
Click below to view Rocio Espinosa'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
April 8, 2022 - Present
ASSET ALLOCATION STRATEGIES, LLC
RIA
CRD#: 152339
MIAMI BEACH, FL
Current
February 9, 2022 - Present
GLP INVESTMENT SERVICES, LLC
Office #1: 33335 Grand River, Farmington, MI 48336BD
CRD#: 25450
Farmington, MI
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".
AA
ASSET ALLOCATION STRATEGIES, LLC
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
RIA
Registered Investment Advisory firm - (9/28/2015 Approved)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)Michigan
Registered Investment Advisory firm - (3/30/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/14/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(2/11/2022)
IAR
Florida(4/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/31/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ASSET ALLOCATION STRATEGIES, LLC
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
RIA
Registered Investment Advisory firm - (9/28/2015 Approved)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)Michigan
Registered Investment Advisory firm - (3/30/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/14/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
33335 Grand River, Farmington, MI 48336
Mailing Address
Phone number
(248) 489-0101
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,883 |
| AUM (Assets Under Management) | $ 767,431,598 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
