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Roc Willis

Oppenheimer & CO. INC.
43 Years of Experience
Bellevue, WA
2 DisclosuresBroker
View SEC Summary
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Roc Willis is a registered investment advisor at Oppenheimer & CO. INC., based in Bellevue, WA, with 43 years of industry experience. Roc is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1155 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

500 108th Avenue Ne, Suite 2100, Bellevue, WA, 98004

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2002
Settled
Customer Dispute
August 2001
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
December 2024 - Present · 1 yr 10 mos
Oppenheimer & CO. INC.Broker
November 2024 - Present · 1 yr 11 mos
Previous Registrations
Wedbush Securities INC.
February 2011 - December 2024 · 13 yrs 10 mos
Wedbush Securities INC.Broker
February 2011 - December 2024 · 13 yrs 10 mos
Wells Fargo Advisors, LLCBroker
January 2008 - January 2011 · 3 yrs
Wells Fargo Advisors, LLC
January 2008 - January 2011 · 3 yrs
A. G. Edwards & Sons, INC.
May 2004 - January 2008 · 3 yrs 8 mos
A. G. Edwards & Sons, INC.Broker
May 2004 - January 2008 · 3 yrs 8 mos
Morgan Stanley
August 1998 - May 2004 · 5 yrs 9 mos
Morgan Stanley Dw INC.Broker
March 1987 - May 2004 · 17 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1984 - February 1987 · 3 yrs
Shearson/american Express INC.Broker
August 1983 - February 1984 · 6 mos
Foster & Marshall/american Express INC.Broker
March 1983 - September 1983 · 6 mos
State Registrations22 states
AKAZCACOFLGAHIIDMDMNMTNDNMNVOKORTNTXUTVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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