Gustavo Roca is a registered investment advisor, based in Wayne, PA, with 23 years of industry experience.
Location
690 Lee Road, Wayne, PA, 19087
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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.
Learn about disclosures →Employment History
Current Registrations
Hartford Funds Distributors, LLC
March 2025 - Present · 1 yr 6 mos
Hartford Funds
March 2025 - Present · 1 yr 6 mos
Hartford Funds Distributors, LLCBroker
March 2025 - Present · 1 yr 6 mos
Previous Registrations
Kovitz Investment Group Partners, LLC
January 2025 - March 2025 · 2 mos
Kovitz Investment Group Partners, LLC
June 2024 - December 2024 · 6 mos
Connectus Wealth
October 2023 - July 2024 · 9 mos
LPL Financial LLC
August 2021 - October 2023 · 2 yrs 2 mos
LPL Financial LLCBroker
October 2020 - October 2023 · 3 yrs
Franklin Templeton Financial Services CORP.Broker
October 2019 - October 2020 · 1 yr
Franklin/templeton Distributors, INC.Broker
June 2002 - October 2020 · 18 yrs 4 mos
State Registrations1 state
CA
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.