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James Anthony Rocco

Wells Fargo Clearing Services, LLC

Naples, FL

Marco Island, FL

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Current Employers
Wells Fargo Clearing Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-01-28
FL RA APPROVED 2014-12-03
  • TX RA
    APPROVED
    Since 2019-01-28
  • FL RA
    APPROVED
    Since 2014-12-03

Branch Locations

9110 Strada Pl 3Rd Floor [F9-Rbo], Naples, FL 34108 • United States

1090 North Collier Blvd, Marco Island, FL 34145 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Naples FL 12/2014 11/2016
Wells Fargo Clearing Services, Llc Naples FL 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2014-12-12
    J.P. Morgan Securities Llc
    Riverhead, NY
    Riverhead, NY
    Naples, FL
    Naples, FL
    Marco Island, FL
    Naples, FL
    Naples, FL
    Bonita Springs, FL
    St Pete Beach, FL
  • 2011-10-28 → 2012-10-01
    Chase Investment Services Corp.
    Riverhead, NY
    Riverhead, NY
    Mineola, NY
  • 2010-06-15 → 2011-10-13
    Citigroup Global Markets Inc.
    Smithtown, NY
    Lake Grove, NY
    Plainview, NY
    Tampa, FL
    Manhasset, NY
    Port Jefferson, NY
  • 2008-12-09 → 2009-02-26
    Banc Of America Investment Services, Inc.
    Melville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-12-08
S63 Uniform Securities Agent State Law Examination 2007-10-26
  • S65 Uniform Investment Adviser Law Examination
    2008-12-08
  • S63 Uniform Securities Agent State Law Examination
    2007-10-26
Other Names
  • James A Rocco

View on SEC IAPD

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NTV PROSPERITY MANAGEMENT

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DAVID MATTHEW WHITTAKER

Other Offices

TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
WELLS FARGO CLEARING SERVICES, LLC · NAPLES, FL
J.P. MORGAN SECURITIES LLC · NAPLES, FL
SYNOVUS SECURITIES, INC. · NAPLES, FL
LPL FINANCIAL LLC · NAPLES, FL
CAPITAL WEALTH PLANNING, LLC · NAPLES, FL
AMERIPRISE FINANCIAL SERVICES, LLC · NAPLES, FL

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