Hugo M Rocha

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-08-26
PA	RA	APPROVED	2003-07-22

TX RA
APPROVED_RES

Since 2026-08-26
PA RA
APPROVED

Since 2003-07-22

Branch Locations

1242 Bristol Pike, Bensalem, PA 19020 • United States

2349 Street Rd, Bensalem, PA 19020 • United States

100 N 18Th St 22Nd Fl [L2-Rbo], Philadelphia, PA 19103 • United States

Disclosures

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

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Morrisville	PA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Morrisville	PA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Morrisville, PA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Morrisville, PA

Previous Registrations

2002-05-02 → 2003-07-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Other Businesses

743 N 20TH STREET HOMEONWERS ASSOCIATION, NOT INV RELATED, PHILADELPHIA, PA, PRESIDENT, START 1/01/2025, 3 HOURS PER MONTH, ZERO HOURS DURING TRADING, OVERSEE DECISION MAKING FOR HOA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-08-23
S63	Uniform Securities Agent State Law Examination	1999-01-02

S65 Uniform Investment Adviser Law Examination

2001-08-23
S63 Uniform Securities Agent State Law Examination

1999-01-02

Other Names

Marc Rocha

View on SEC IAPD