Individual Firm
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JAMES BARRY MARCHETTI
CRD#: 814059
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 1850 Mt Diablo Boulevard - Suite 300
Walnut Creek, CA 94596
Walnut Creek, CA 94596
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12/13/1993
Customer Dispute
Settled
State Registrations
B
Alaska 3/27/2023
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New Hampshire 3/27/2023
B
Arizona 3/27/2023
B
New Jersey 3/27/2023
B
California 3/27/2023
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New Mexico 11/16/2023
IA
California 3/28/2023
B
New York 3/27/2023
B
Colorado 3/27/2023
B
North Carolina 3/27/2023
B
Connecticut 3/27/2023
B
Ohio 3/27/2023
B
Delaware 3/27/2023
B
Oklahoma 3/27/2023
B
District of Columbia 3/27/2023
B
Oregon 3/27/2023
B
Florida 3/27/2023
B
Pennsylvania 3/27/2023
B
Georgia 3/27/2023
B
South Carolina 3/27/2023
B
Idaho 3/27/2023
B
South Dakota 3/27/2023
B
Illinois 3/27/2023
B
Tennessee 4/6/2023
B
Indiana 3/27/2023
B
Texas 3/27/2023
B
Kentucky 3/27/2023
B
Utah 3/27/2023
B
Louisiana 3/27/2023
B
Vermont 3/27/2023
B
Maryland 3/27/2023
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Virginia 3/27/2023
B
Massachusetts 3/27/2023
B
Washington 3/27/2023
B
Michigan 3/27/2023
B
Wisconsin 3/27/2023
B
Nevada 3/27/2023
B
Wyoming 3/27/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/28/2023
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Registered with this firm since 3/27/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/18/2016 - 04/24/2023 | WALNUT CREEK, CA | |
B | 03/18/2016 - 04/24/2023 | Walnut Creek, CA | |
IA | 02/09/1989 - 03/22/2016 | SAN FRANCISCO, CA | |
B | 09/26/1978 - 03/22/2016 | SAN FRANCISCO, CA | |
B | 10/23/1975 - 09/26/1978 |
SAN FRANCISCO, CA
02/09/1989 - 03/22/2016
SAN FRANCISCO, CA
09/26/1978 - 03/22/2016
10/23/1975 - 09/26/1978
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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.