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Brenda Brooks Rocchio
BRENDA L BROOKS, BRENDA LANE BROOKS, BRENDA BROOKS ROCCHIO, BRENDA LANE ROCCHIO
CRD#: 2456572
IA
Investment Adviser
B
Broker
ALLSTATE FINANCIAL ADVISORS, LLCCRD#: 109524 8546 Broadway, Ste. 101
San Antonio, TX 78217-6345
ALLSTATE FINANCIAL SERVICES, LLCCRD#: 18272 8546 Broadway Ste 101
San Antonio , TX 78217-6345
Registration History
19952000200520102015202020252 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2024 - Present (<1 year)BPRIVATE CLIENT SERVICES, LLC (CRD# 120222)2018 - 2018 (<1 year)BNYLIFE SECURITIES LLC (CRD# 5167)2012 - 2015 (2 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2011 - 2012 (<1 year)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2009 - 2009 (<1 year)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2001 - 2006 (5 years)BCOMPASS BROKERAGE, INC. (CRD# 17086)2000 - 2001 (<1 year)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)1996 - 2000 (4 years)BEDWARD D. JONES & CO., L.P. (CRD# 250)1994 - 1996 (2 years)IALAWING FINANCIAL INC (CRD# 117178)2017 - 2017 (<1 year)
Disclosure(s)
View By:
3/6/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Texas 11/26/2024

IA
Texas 12/3/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ALLSTATE FINANCIAL ADVISORS, LLC (CRD#:109524)
8546 Broadway, Ste. 101, San Antonio, TX 78217-6345
Registered with this firm since 12/3/2024

B
ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272)
8546 Broadway Ste 101, San Antonio , TX 78217-6345
Registered with this firm since 11/8/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/11/2017 - 07/13/2018 PRIME CAPITAL INVESTMENT ADVISORS, LLC (CRD#:288712) Boerne, TX
B
04/25/2018 - 07/13/2018 PRIVATE CLIENT SERVICES, LLC (CRD#:120222) Boerne, TX
B
05/01/2017 - 04/30/2018 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) BOERNE, TX
IA
05/08/2017 - 10/13/2017 LAWING FINANCIAL INC (CRD#:117178) Boerne, TX
IA
07/01/2015 - 05/02/2017 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) SPRING BRANCH, TX
B
02/18/2015 - 05/02/2017 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) SPRING BRANCH, TX
B
06/21/2012 - 02/23/2015 NYLIFE SECURITIES LLC (CRD#:5167) BOERNE, TX
B
07/12/2011 - 06/13/2012 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) BOERNE, TX
B
01/06/2009 - 09/08/2009 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SAN ANTONIO, TX
B
07/13/2001 - 12/31/2006 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SAN ANTONIO, TX
B
12/11/2000 - 07/19/2001 COMPASS BROKERAGE, INC. (CRD#:17086) BIRMINGHAM, AL
B
10/29/1996 - 12/08/2000 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
B
07/26/1994 - 08/13/1996 EDWARD D. JONES & CO., L.P. (CRD#:250) ST. LOUIS, MO
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.