James Rocco, financial advisor Naples FL
93 score

James Rocco

CRD Number: 5417116
Current Firm: Wells Fargo Advisors, LLC

James Rocco (CRD# 5417116) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Naples, FL and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors, LLC Naples, FL Dec 2014 - Current 2
J.p. Morgan Securities LLC Riverhead, NY Oct 2012 - Dec 2014 2
Chase Investment Services Corp Mineola, NY Oct 2011 - Oct 2012 1
Citigroup Global Markets, Inc. Smithtown, NY Jun 2010 - Oct 2011 1
Unemployed Holbrook, NY Mar 2010 - Jun 2010 < 1
Equity Source Home Loans East Islip, NY Jun 2009 - Feb 2010 < 1
National Securities Corporation Huntington, NY Mar 2009 - May 2009 < 1
Banc Of America Investment Services, Inc. Melville, NY Oct 2008 - Feb 2009 < 1
Banc Of America Insurance Services, Inc. Melville, NY Oct 2008 - Feb 2009 < 1
Wachovia Bank, N.a. Fort Myers, FL Mar 2008 - Sep 2008 < 1
Wachovia Securities, LLC Fort Myers, FL Mar 2008 - Sep 2008 < 1
Chase Investment Services Bellport, NY Sep 2007 - Mar 2008 < 1
Jpmorgan Chase Na Bellport, NY Sep 2007 - Mar 2008 < 1
American Home Mortgage East Hampton, NY Jun 2007 - Aug 2007 < 1
Franklin First Financial Hauppauge, NY Jan 2004 - Jun 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2007
S65 NASAA Investment Advisors Law Examination Dec 2008
Contact Info for James A. Rocco
Phone Number: 314-875-3000
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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