Antonio Rocha Jr.

Ubs Financial Services Inc.

Coral Gables, FL

Claim This Profile

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-10-04

FL RA
APPROVED

Since 2024-10-04

Branch Locations

Miami, FL • United States

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • 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	Coral Gables	FL	09/2015	11/2016
Wells Fargo Clearing Services, Llc	Coral Gables	FL	11/2016	03/2021
Morgan Stanley Smith Barney Llc	Miami	FL	03/2021	09/2022
Citigroup	Miami	FL	09/2022	04/2024
Ubs Financial Services Inc.	Weehawken	NJ	04/2024	Present

09/2015 → 11/2016

Wells Fargo Advisors, Llc

Coral Gables, FL
11/2016 → 03/2021

Wells Fargo Clearing Services, Llc

Coral Gables, FL
03/2021 → 09/2022

Morgan Stanley Smith Barney Llc

Miami, FL
09/2022 → 04/2024

Citigroup

Miami, FL
04/2024 → Present

Ubs Financial Services Inc.

Weehawken, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-10-03
S63	Uniform Securities Agent State Law Examination	2016-05-24

S66 Uniform Combined State Law Examination

2024-10-03
S63 Uniform Securities Agent State Law Examination

2016-05-24

Other Names

Tony Rocha
Antonio G. Rocha
Antonio G. Rocha
Antonio Rocha Jr.
Antonio Gomes Rocha Jr
Antonio G Rocha Jr
Antonio Gomes Rocha
Antonio Rocha
Antonio G Rocha
Antonio Gomes Rocha

View on SEC IAPD

More in Miami, FL

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor