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ROBERT ROSS ROCCO
BOBBY ROCCO, ROBERT ROCCO
CRD#: 5221566
IA
B
WELLS FARGO ADVISORSCRD#: 19616 6781 N PALM AVE STE 201
[NT/NV-RBO]
FRESNO, CA 93704
[NT/NV-RBO]
FRESNO, CA 93704
0
Disclosures
18
Years of Experience
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State Registrations
B
Arizona 5/3/2017
B
Mississippi 7/28/2022
B
Arkansas 4/19/2022
B
Nevada 1/14/2020
B
California 1/3/2011
B
Oklahoma 12/8/2015
IA
California 1/3/2011
B
Oregon 6/17/2016
B
Colorado 4/8/2022
B
Texas 4/1/2020
B
Florida 6/22/2021
IA
Texas 4/2/2020
B
Hawaii 3/25/2025
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/23/2008 - 01/03/2011 | FRESNO, CA | |
B | 07/22/2008 - 01/03/2011 | FRESNO, CA | |
IA | 11/20/2006 - 06/26/2008 | FRESNO, CA | |
B | 11/06/2006 - 06/26/2008 | FRESNO, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.