Joseph A. Rocca
Professional summary
Joseph Anthony Rocca JR, who also goes by Joey Rocca Jr, is a registered financial professional currently at WILSON-DAVIS & CO., INC. located in Salt Lake City, Utah.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1979. Joseph has worked at 19 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Rocca JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 25, 2013 - Present
WILSON-DAVIS & CO., INC.
Office #1: 236 South Main Street, Salt Lake City, UT 84101-2104January 17, 2013 - November 19, 2013
WINDSOR STREET CAPITAL, LP
September 7, 2012 - January 14, 2013
DELANEY EQUITY GROUP LLC
May 15, 2012 - August 21, 2012
WESTOR CAPITAL GROUP, INC.
May 10, 2010 - April 16, 2012
BMA SECURITIES, LLC
August 11, 2009 - May 19, 2010
SCOTTSDALE CAPITAL ADVISORS CORP
October 3, 2008 - June 30, 2009
MARTINEZ-AYME SECURITIES
March 4, 2008 - April 10, 2008
QUANTUM SECURITIES, INC.
July 3, 2007 - April 8, 2009
FOUR POINTS CAPITAL PARTNERS LLC
April 11, 2005 - June 22, 2007
STG SECURE TRADING GROUP, INC.
May 7, 2003 - December 31, 2004
EDI FINANCIAL, INC.
August 25, 1999 - April 17, 2003
FIRST SOUTHWEST COMPANY, LLC
September 17, 1996 - July 19, 1999
HOAK BREEDLOVE WESNESKI & CO.
August 11, 1995 - December 23, 1996
SC SECURITIES CORP.
August 5, 1991 - August 25, 1995
WEBER INVESTMENT CORPORATION
January 22, 1991 - May 22, 1991
RAUSCHER PIERCE REFSNES, INC.
May 16, 1983 - December 12, 1990
NASH, WEISS & CO.
November 7, 1981 - December 25, 1981
RODMAN & RENSHAW INC.
May 24, 1979 - August 27, 1981
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/31/2025)
(12/21/2022)
(8/30/2022)
(9/9/2022)
(9/2/2022)
(11/25/2013)
(9/1/2022)
(8/30/2022)
(2/19/2015)
(1/9/2023)
(8/29/2022)
(8/30/2022)
(9/1/2022)
(8/30/2022)
(7/18/2025)
(8/30/2022)
(9/2/2022)
(9/27/2022)
(1/22/2015)
(8/30/2022)
(8/30/2022)
(5/13/2024)
(4/7/2014)
(8/30/2022)
(1/27/2015)
(9/1/2022)
(9/2/2022)
(8/31/2022)
(8/30/2022)
(8/30/2022)
(9/7/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/30/1999
Limited Representative-Equity Trader ExamFINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 1 |
Red Flags
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Company Information
WILSON-DAVIS & CO., INC.
CRD#: 3777Salt Lake City, UT 84101-2104TRUST BUT VERIFY
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