Jorge RocaCRD Number: 1148426
Current Firm: Wells Fargo Advisors Financial Network, LLC
Jorge Roca (CRD# 1148426) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Saint Louis, MO and has over 20 years of experience in the finance industry. Jorge Roca has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Carsonallaria Wealth Management, Ltd.
Financial Planning Associates, Inc.
Cutter & Company, Inc.
|Wells Fargo Advisors Financial Network, LLC||St Louis, MO||Nov 2011 - Current||6|
|Wells Fargo Advisors LLC||Doral, FL||May 2009 - Nov 2011||2|
|Wachovia Securities, LLC||Miami, FL||Jun 2003 - May 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1997|
|S65||NASAA Investment Advisors Law Examination||Aug 1997|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Event
- Criminal Record
Total Assets Under Management42,504MILLIONS
Total Number of Accounts142,401ACCOUNTS
Average Account Value$298,482
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
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, WY