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Rocco Joseph Testa

TRADESTATION SECURITIES
PLANTATION, FL
·CRD# 8186815·1 year registered

Professional Summary

Rocco Joseph Testa is a registered financial advisor currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida. Rocco is registered as a RR (Registered Representative) and started their career in finance in 2026. Rocco has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO, Series 3 and SIE exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

1 years registered in the securities industry

Current & Past Employments

Current

TRADESTATION SECURITIES, INC.Current·CRD# 39473
BD
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
October 23, 2026 - Present

Past

FERRANTE CAPITAL LLCPast·CRD# 338301
RIA
Hollywood, FL
March 26, 2026 - July 6, 2026

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Current Firm

TS
TRADESTATION SECURITIES, INC.

ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.

CRD#: 39473 / SEC#: 8-48711
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

8050 Sw 10th Street Suite 2000, Plantation, FL 33324

Mailing Address

8050 Sw 10th Street Suite 2000, Plantation, FL 33324

Phone Number

(954) 652-7900

Established

Florida since 09/07/1995

Firm Type

Corporation

Fiscal Year End

March

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRADESTATION GROUP, INC.OWNER - PARENT CORPORATION—
BOLEK, JOHN MITCHELLCHIEF OPERATIONS OFFICER2363046
KOROTKIY, PETERCHIEF OPERATING OFFICER & PRESIDENT2706102
MORMILE-WOLPER, MYRA CHRISTINEGENERAL COUNSEL AND ASSISTANT SECRETARY6753154
ROJEK, JAMES HCHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL3096214
VESPE, CHRISTOPHER JAMESINTERIM CHIEF COMPLIANCE OFFICER5205586

Disclosures

Regulatory Event

29

Arbitration

4

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

I am the CSO and Shareholder of Ferrante Holdings Inc., an investment-related holding company organized in Virginia. Ferrante Holdings Inc. owns and oversees two affiliated businesses: Ferrante Capital LLC, a Virginia investment adviser applicant, and Falco Systems LLC, a software development company. My relationship with Ferrante Holdings Inc. began in August 2025. I devote approximately 5 hours per month to this business, with 0 hours during securities trading hours. My responsibilities include coordinating long and short term strategy. Ferrante Holdings Inc. itself does not engage in investment advisory activity, trading, or client-facing services; it functions strictly as a parent and oversight entity. Additionally, I am an Owner and Developer for Falco Systems LLC, a Virginia-organized, non-investment-related software company. Falco Systems develops, maintains, and licenses algorithmic trading tools and related software for use by individual traders. My relationship with Falco began in September 2025. I devote approximately 40 hours per month to this work, with 0 hours during securities trading hours. My duties include software research, coding, system design, testing, product improvements, and handling updates to the licensed tools. Falco Systems provides software only; it does not give investment advice, manage assets, or recommend securities to clients of Ferrante Capital LLC or to any other users.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(10/24/2026)
RR
Alaska
(10/24/2026)
RR
Arizona
(10/24/2026)
RR
Arkansas
(10/24/2026)
RR
California
(10/24/2026)
RR
Colorado
(10/24/2026)
RR
Connecticut
(10/24/2026)
RR
Delaware
(10/24/2026)
RR
District of Columbia
(10/24/2026)
RR
Florida
(10/24/2026)
RR
Georgia
(10/24/2026)
RR
Hawaii
(10/24/2026)
RR
Idaho
(10/24/2026)
RR
Illinois
(10/24/2026)
RR
Indiana
(10/24/2026)
RR
Iowa
(10/24/2026)
RR
Kansas
(10/24/2026)
RR
Kentucky
(10/24/2026)
RR
Louisiana
(10/24/2026)
RR
Maine
(10/24/2026)
RR
Maryland
(10/24/2026)
RR
Massachusetts
(10/24/2026)
RR
Michigan
(10/24/2026)
RR
Minnesota
(10/24/2026)
RR
Mississippi
(10/24/2026)
RR
Missouri
(10/24/2026)
RR
Montana
(10/24/2026)
RR
Nebraska
(10/24/2026)
RR
Nevada
(10/24/2026)
RR
New Hampshire
(10/24/2026)
RR
New Jersey
(10/24/2026)
RR
New Mexico
(10/24/2026)
RR
New York
(10/24/2026)
RR
North Carolina
(10/24/2026)
RR
North Dakota
(10/24/2026)
RR
Ohio
(10/26/2026)
RR
Oklahoma
(10/24/2026)
RR
Oregon
(10/24/2026)
RR
Pennsylvania
(10/24/2026)
RR
Puerto Rico
(10/24/2026)
RR
Rhode Island
(10/24/2026)
RR
South Carolina
(10/24/2026)
RR
South Dakota
(10/24/2026)
RR
Tennessee
(10/24/2026)
RR
Texas
(10/24/2026)
RR
Utah
(10/24/2026)
RR
Vermont
(10/24/2026)
RR
Virginia
(10/24/2026)
RR
Washington
(10/24/2026)
RR
West Virginia
(10/24/2026)
RR
Wisconsin
(10/24/2026)
RR
Wyoming
(10/24/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2026About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2026About the Series 65 exam

Series 7TO — General Securities Representative Examination

Passed Oct 2026About the Series 7TO exam

Series 3 — National Commodity Futures Examination

Passed Jul 2026About the Series 3 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2025About the SIE exam
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Cboe EDGA Exchange, Inc.
SRO Registrations
Cboe EDGX Exchange, Inc.
SRO Registrations
FINRA
SRO Registrations
Investors' Exchange LLC
SRO Registrations
NYSE American LLC
SRO Registrations
NYSE Arca, Inc.
SRO Registrations
Nasdaq Stock Market
SRO Registrations
Nasdaq Texas, LLC
SRO Registrations
New York Stock Exchange
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Rocco Joseph Testa's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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