Arturo Rocha

Current Employers

Employment History

• 08/2015 → 09/2021
  Raymond James & Associates Inc
  Irving, TX
• 09/2021 → 07/2023
  Southside Investment Services
  Fort Worth, TX
• 09/2021 → Present
  Raymond James Financial Services, Inc
  Fort Worth, TX
• 09/2021 → Present
  Raymond James Financial Advisors Services, Inc
  Fort Worth, TX
• 09/2001 → Present
  Southside Bank
  Fort Worth, TX

Previous Registrations

• 2015-08-14 → 2021-09-14
  Raymond James & Associates, Inc.
  Irving, TX
  St. Petersburg, FL
• 2012-06-07 → 2013-12-31
  Transamerica Financial Advisors, Llc
  Plano, TX
  Irving, TX
  St. Petersburg, FL
• 2011-05-27 → 2011-07-08
  Mml Investors Services, Llc
  Dallas, TX
• 2005-09-27 → 2011-01-14
  Waddell & Reed
  Denver, CO
  Austin, TX
• 2004-05-04 → 2005-02-14
  Equitable Advisors, Llc
  Austin, TX
• 2004-01-12 → 2004-04-21
  Waddell & Reed
  El Paso, TX

Other Businesses

(1) Name of Business: Southside Bank Address: 1320 S. University Dr., Fort Worth, TX, 76107, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 09/16/2001 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor (2) Name of Business: Southside Investment Services Address: 1320 S University Drive, Suite 116, Fort Worth, TX, 76006, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 09/30/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial planning and investment servives (3) Name of Business: Southside Wealth Management Address: 2311 W Euless Blvd, Euless, TX, 76040, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 05/15/2023 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Planning, Wealth management,

Exams

• S66 Uniform Combined State Law Examination
  2003-12-10
• S63 Uniform Securities Agent State Law Examination
  1999-07-07