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6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-01-06 |
| PA | RA | APPROVED | 2026-01-02 |
Branch Locations
3748 West Chester Pike, Suite 105, Newtown Square, PA 19073 • United States
6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hartford Funds Distributors Llc | Wayne | PA | 12/2012 | 10/2024 |
| Planmember Securities Corporation | Carpinteria | CA | 12/2025 | Present |
| John Rocco Consulting Company Llc | Boothwyn | PA | 11/2025 | Present |
| Na-Unemployed | Boothwyn | PA | 10/2024 | 11/2025 |
1)John Rocco Consulting Company LLC-4416 Whitney Ave., Boothwyn, PA 19061; Noninvestment related; Purchase & resale of 76ers basketball season tickets; Owner; Start date 11/2025; 8 hrs/mnth; 0 hrs/mnth during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-26 |
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