Grace Rocha is a registered investment advisor, based in Hollywood, FL, with 27 years of industry experience.
Location
Hollywood, FL
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Regulatory History
Clean regulatory record
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.
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Grace owns rental property in Miami, FL, since 2018. She devotes no time to this rental each month.
Employment History
Current Registrations
Citi Private Alternatives, LLCBroker
March 2017 - Present · 9 yrs 6 mos
Citi Private Alternatives, LLC
March 2017 - Present · 9 yrs 6 mos
Citigroup Global Markets INC.
December 2016 - Present · 9 yrs 9 mos
Citigroup Global Markets INC.
October 2016 - Present · 9 yrs 11 mos
Citigroup Global Markets INC.Broker
October 2016 - Present · 9 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
April 2010 - November 2015 · 5 yrs 7 mos
Citigroup Global Markets INC.Broker
March 2010 - November 2015 · 5 yrs 8 mos
Capital Guardian Wealth Management, LLC
July 2009 - March 2010 · 8 mos
Capital Guardian, LLCBroker
April 2009 - March 2010 · 11 mos
Stanford Group Company
July 2008 - March 2009 · 8 mos
Stanford Group CompanyBroker
March 2001 - March 2009 · 8 yrs
Banc of America Investment Services, INC.Broker
April 1998 - August 2001 · 3 yrs 4 mos
Barnett Investments, INC.Broker
March 1997 - April 1998 · 1 yr 1 mo
State Registrations15 states
CACODCDEFLGAINMANCNJNYSDTXVAVirgin Islands
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.