Joao A Rocha

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-04-13
NJ	RA	APPROVED	2016-01-13

TX RA
APPROVED_RES

Since 2021-04-13
NJ RA
APPROVED

Since 2016-01-13

Branch Locations

1000 Pine Ave, Union, NJ 07083 • United States

410 Bergen St, Harrison, NJ 07029 • United States

715 Elizabeth Ave, Elizabeth, NJ 07201 • United States

37 Wilson Avenue, Newark, NJ 07105 • United States

36 Pacific Street, Newark, NJ 07105 • United States

23 Little Falls Road, Fairfield, NJ 07004 • 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
Flagstar Bank N.A.	Newark	NJ	12/2015	Present
Lpl Financial, Llc	Newark	NJ	01/2016	Present

12/2015 → Present

Flagstar Bank N.A.

Newark, NJ
01/2016 → Present

Lpl Financial, Llc

Newark, NJ

Previous Registrations

2014-10-06 → 2016-01-07

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Woodbridge, NJ

Iselin, NJ

Woodbridge, NJ

Iselin, NJ

Other Businesses

1. 02/02/2024 - Flagstar Wealth Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 2/2/2024

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-10-02
S63	Uniform Securities Agent State Law Examination	2007-05-10

S65 Uniform Investment Adviser Law Examination

2014-10-02
S63 Uniform Securities Agent State Law Examination

2007-05-10

Other Names

John A Rocha
Joao Rocha
Joao Alexandre Rocha

View on SEC IAPD