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Cesar Rocha

Charles Schwab & Co., Inc.

Los Angeles, CA

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-11-24
  • CA RA
    APPROVED
    Since 2021-11-24

Branch Locations

355 S. Grand Ave Suite 110, Los Angeles, CA 90071-3158 • 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
Jp Morgan Chase Bank Los Angeles CA 04/2011 10/2017
J.P. Morgan Securities Llc Los Angeles CA 10/2012 10/2017
Wells Fargo Bank, Na Manhattan Beach CA 10/2017 11/2021
Wells Fargo Clearing Services Llc Manhattan Beach CA 10/2017 11/2021
Charles Schwab & Co., Inc. Santa Monica CA 11/2021 Present
Charles Schwab Bank, Ssb Santa Monica CA 11/2021 Present
Td Ameritrade Inc. Santa Monica CA 04/2023 06/2024
  • 04/2011 → 10/2017
    Jp Morgan Chase Bank
    Los Angeles, CA
  • 10/2012 → 10/2017
    J.P. Morgan Securities Llc
    Los Angeles, CA
  • 10/2017 → 11/2021
    Wells Fargo Bank, Na
    Manhattan Beach, CA
  • 10/2017 → 11/2021
    Wells Fargo Clearing Services Llc
    Manhattan Beach, CA
  • 11/2021 → Present
    Charles Schwab & Co., Inc.
    Santa Monica, CA
  • 11/2021 → Present
    Charles Schwab Bank, Ssb
    Santa Monica, CA
  • 04/2023 → 06/2024
    Td Ameritrade Inc.
    Santa Monica, CA
Previous Registrations
Other Businesses

1) Self-Cesar Rocha|Investment Related: No|Real Estate (Non-Agent/Broker)|owner|11/1/2022|Less than 20 hour/month - 0 during trading hours|Rental property no time will be devoted to manage it.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-08
S63 Uniform Securities Agent State Law Examination 2011-05-17
  • S65 Uniform Investment Adviser Law Examination
    2020-12-08
  • S63 Uniform Securities Agent State Law Examination
    2011-05-17

View on SEC IAPD

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NORTHERN TRUST SECURITIES, INC.
NUVEEN ASSET MANAGEMENT, LLC
WEALTHSPIRE RETIREMENT ADVISORY

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DIMITRI JIMMY KRIKELAS
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Sarah Mushtaq Chhotani
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Olivia R DiNapoli
Natalie Jeanne-Marie Glover
JAMES EDGAR BERLINER

Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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