Arturo Rocha is a registered investment advisor, based in Euless, TX, with 23 years of industry experience.
Location
2311 W. Euless Blvd., Euless, TX, 76040
Get directionsHistory
Regulatory History (1)
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Financial
July 2016Final
Other Business Activities
Arturo works as a financial advisor for Southside Bank, dedicating minimal time to this role. He also works as an independent contractor for Southside Wealth Management, focusing on financial planning and wealth management, which takes about a quarter to half of his time.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
September 2021 - Present · 4 yrs 10 mos
Raymond James Financial Services Advisors, INC
September 2021 - Present · 4 yrs 10 mos
Previous Registrations
Raymond James & Associates, INC.
August 2015 - September 2021 · 6 yrs 1 mo
Raymond James & Associates, INC.Broker
August 2015 - September 2021 · 6 yrs 1 mo
Transamerica Financial Advisors, INC.
June 2012 - December 2013 · 1 yr 6 mos
Transamerica Financial Advisors, INCBroker
May 2012 - December 2013 · 1 yr 7 mos
MML Investors Services, LLC
May 2011 - July 2011 · 2 mos
MML Investors Services, LLCBroker
May 2011 - July 2011 · 2 mos
Waddell & Reed, INC.
September 2005 - January 2011 · 5 yrs 4 mos
Waddell & Reed, INC.Broker
September 2005 - January 2011 · 5 yrs 4 mos
Ing Financial Partners, INC.Broker
February 2005 - September 2005 · 7 mos
AXA Advisors, LLCBroker
May 2004 - February 2005 · 9 mos
AXA Advisors, LLC
May 2004 - February 2005 · 9 mos
Waddell & Reed, INC.
January 2004 - April 2004 · 3 mos
Waddell & Reed, INC.Broker
April 2001 - April 2004 · 3 yrs
American Express Financial Advisors INC.Broker
July 1999 - April 2001 · 1 yr 9 mos
Ids Life Insurance CompanyBroker
July 1999 - April 2001 · 1 yr 9 mos
State Registrations22 states
ARCACOFLGAIAINKYLAMONCNJNYOHOKORPATNTXVAWAWV
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.