Gustavo Oliverto De La Roca

690 Lee Road, Wayne, PA 19087 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-03-12

Branch Locations

Glendale, CA • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Franklin Tempelton Distributors Inc.	Rancho Cordova	CA	03/2002	10/2020
Franklin Templeton Financial Services Corp.	Rancho Cordova	CA	07/2019	10/2020
Lpl Financial Llc	Woodland Hills	CA	10/2020	08/2023
Premier America Credit Union	Woodland Hills	CA	10/2020	08/2023
Connectus Wealth Advisers	Hunt Valley	MD	09/2023	06/2024
Kovitz Investment Group Partners, Llc	Glendale	CA	06/2024	02/2025
Hartford Funds Distributors, Llc	Wayne	PA	03/2025	Present
Hartford Funds Management Company, Llc	Wayne	PA	03/2025	Present

03/2002 → 10/2020

Franklin Tempelton Distributors Inc.

Rancho Cordova, CA
07/2019 → 10/2020

Franklin Templeton Financial Services Corp.

Rancho Cordova, CA
10/2020 → 08/2023

Lpl Financial Llc

Woodland Hills, CA
10/2020 → 08/2023

Premier America Credit Union

Woodland Hills, CA
09/2023 → 06/2024

Connectus Wealth Advisers

Hunt Valley, MD
06/2024 → 02/2025

Kovitz Investment Group Partners, Llc

Glendale, CA
03/2025 → Present

Hartford Funds Distributors, Llc

Wayne, PA
03/2025 → Present

Hartford Funds Management Company, Llc

Wayne, PA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-07-30
S63	Uniform Securities Agent State Law Examination	2002-12-06

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