Joshua Irwin Rocha

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-01-17

CA RA
APPROVED

Since 2023-01-17

Branch Locations

11545 Los Osos Valley Road Suite B-1, San Luis Obispo, CA 93405 • 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
Cal Poly	San Luis Obispo	CA	09/2015	06/2017
Army National Guard	San Luis Obispo	CA	09/2011	09/2019
Wacker Wealth Partners, Llc	San Luis Obispo	CA	03/2017	05/2022
Lpl Financial Llc	San Luis Obispo	CA	06/2022	Present

09/2015 → 06/2017

Cal Poly

San Luis Obispo, CA
09/2011 → 09/2019

Army National Guard

San Luis Obispo, CA
03/2017 → 05/2022

Wacker Wealth Partners, Llc

San Luis Obispo, CA
06/2022 → Present

Lpl Financial Llc

San Luis Obispo, CA

Previous Registrations

2019-11-19 → 2022-05-10

Wacker Wealth Partners, Llc

San Luis Obispo, CA

Other Businesses

1) 09/12/2022 - Summit Investment Group - DBA for LPL Business (entity for LPL business) - INV REL - At reported business location(s). 2) 01/14/2025- Adaptive Innovations Inc- Outside/W-2 Employment- Not INV Related- Home based- Start date 01/15/2025- 10 Hours Per Month

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2022-12-16

S63 Uniform Securities Agent State Law Examination

2022-12-16

Designations

Certified Financial Planner

Other Names

Josh Rocha

View on SEC IAPD