Lawrence Rocha, financial advisor Torrance CA

Lawrence Rocha

CRD Number: 5771536
Current Firm: Avantax Advisory Services
Compensation Model: Both

Lawrence Rocha (CRD# 5771536) is a Financial Advisor at Gerry Andrade & Associates in Torrance, CA. He is an Investment Advisor Representative at Avantax Advisory Services, Inc. and has over 9 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Hd Vest Investment Services Torrance, CA Nov 2018 - Current 2
Hd Vest Advisory Services Torrance, CA Nov 2018 - Current 2
Hd Vest Insurance Agency, LLC Irving, TX Nov 2018 - Current 2
Infinex Investments, Inc. Meriden, CT Nov 2017 - Oct 2018 < 1
First Bank Clayton, MO Nov 2017 - Oct 2018 < 1
Cetera Investment Services LLC St Cloud, MN Oct 2015 - Oct 2017 2
Technology Credit Union San Jose, CA Oct 2015 - Oct 2017 2
Cetera Investment Advisers LLC San Jose, CA Oct 2015 - Oct 2017 2
U.s. Bancorp Investments, Inc. San Jose, CA May 2012 - Sep 2015 3
Us Bank San Jose, CA May 2012 - Sep 2015 3
Bancwest Investment Services, Inc. San Jose, CA Jan 2011 - May 2012 1
Bank Of The West San Jose, CA Jan 2011 - Apr 2012 1
New England Securities Campbell, CA Mar 2010 - Dec 2010 < 1
Unemployed San Jose, CA Oct 2009 - Feb 2010 < 1
San Francisco State University San Francisco, CA Aug 2006 - Sep 2009 3
Exam Code Name Passed Date
S6 Investment Company and Variable Contracts Products Representative Examination (IR) Apr 2010
S63 Uniform Securities State Law Examination Apr 2010
S7 General Securities Representative Examination (GS) Sep 2011
S66 NASAA Uniform Combined State Law Examination Jun 2014
Contact Info for Lawrence Rocha
Phone Number:
Firm Website: https://www.hdvest.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    25,698
    MILLIONS
  • Total Number of Accounts
    94,400
    ACCOUNTS
  • Average Account Value
    $272,227
Compensation Options
  • A percentage of assets under your management
  • 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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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, VT, WA, WI, WV, WY

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Verified Page
Data verified by both the advisor and the public regulatory data.

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