Anthony Rocha
Anthony Rocha is a registered investment advisor at United Planners' Financial Services of America a Limited Partner, based in Peoria, AZ, with 29 years of industry experience. Their practice areas include Estate Planning, Insurance Planning, Retirement Planning, Tax Planning. Their firm serves 26,942 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
United Planners' financial professionals offer portfolio management services for a fee, also known as an advisory fee. This fee is determined based on the complexity of the service, knowledge, skill, technology, and access warranted to satisfy the client's needs. The advisory fee may also include financial planning and consulting services. The maximum advisory fee is 3.0% annually, but may be lower for Pershing accounts due to a separate program fee. United Planners does not have a minimum advisory fee or a predetermined fee schedule.
Location
16150 N. Arrowhead Fountains Center Dr., Suite 345, Peoria, AZ, 85382
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Anthony conducts brokerage, advisory, insurance, and financial planning services under the DBA PFG Advisors, dedicating full-time hours. He also provides advisory services through PFG Advisors, Charles Schwab, and Assetmark, spending about 10-20% of his time, and provides life insurance and long-term care products to clients, spending a few hours per week.
Employment History
Current Registrations
United Planners' Financial Services of America a Limited PartnerBroker
Pfg Advisors
Previous Registrations
Osaic Wealth, INC.Broker
Securities America, INC.Broker
LPL Financial LLCBroker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Compass Brokerage, INC.Broker
Scottsdale Capital Advisors CORPBroker
Gainey Financial Services, INC.Broker
Sunamerica Securities, INC.Broker
State Registrations22 states
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.