Nicolas Rocha, financial advisor Exton PA
88 score

Nicolas Rocha

CRD Number: 5622610
Current Firm: Wasmer Schroeder & Co Inc.

Nicolas Rocha (CRD# 5622610) is an Investment Advisor Representative working at Wasmer Schroeder & Co Inc. in Exton, PA and has 1 year of experience in the finance industry.

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Company Name Location Dates Years
Wasmer, Schroeder & Company, Inc. Naples, FL Aug 2015 - Current 1
Lpl Financial Rockville, MD Dec 2014 - Jul 2015 < 1
Fortigent, LLC Rockville, MD Jan 2013 - Nov 2014 1
Convergent Wealth Advisors Potomac, MD Mar 2011 - Jan 2013 1
Morgan Stanley Smith Barney Washington, DC Jun 2009 - Mar 2011 1
Citigroup Global Markets Inc. Washington, DC May 2008 - Mar 2011 2
Ferris Baker Watts Mclean, VA May 2007 - May 2008 1
Marymount University Arlington, VA Aug 2003 - May 2008 4
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Dec 2014
Contact Info for Nicolas A. Rocha
Phone Number: 239-263-6877
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    5,759
    MILLIONS
  • Total Number of Accounts
    2,387
    ACCOUNTS
  • Average Account Value
    $2,412,702
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI

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BADGES
88
Clean Record
This advisor has a clean track record with regulators.

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