Jeffrey Rocca, financial advisor Rochester NY

Jeffrey Rocca

CRD Number: 4763563
Current Firm: Ubs Financial Services Inc.

Jeffrey Rocca (CRD# 4763563) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Rochester, NY and has over 16 years of experience in the finance industry.

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Merrill Lynch, Pierce, Fenner & Smith Incorporated
Company Name Location Dates Years
Ubs Financial Services Inc. Boston, MA Jul 2011 - Current 9
Wachovia Securities LLC Boston, MA Sep 2009 - Jun 2011 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2004
Contact Info for Jeffrey Rocca
Phone Number: 201-352-3000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    591,361
    MILLIONS
  • Total Number of Accounts
    975,301
    ACCOUNTS
  • Average Account Value
    $606,337
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, 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, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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