Lawrence Rocha

Current Employers

Employment History

• 10/2015 → 10/2017
  Cetera Investment Services Llc
  St. Cloud, MN
• 10/2015 → 10/2017
  Technology Credit Union
  San Jose, CA
• 10/2015 → 10/2017
  Cetera Investment Advisers Llc
  San Jose, CA
• 11/2017 → 10/2018
  Infinex Investments, Inc.
  Meriden, CT
• 11/2017 → 10/2018
  First Bank
  Clayton, MO
• 11/2018 → 11/2021
  Avantax Investment Services, Inc.
  Torrance, CA
• 11/2018 → 11/2021
  Avantax Advisory Services
  Torrance, CA
• 11/2018 → 11/2021
  Avantax Insurance Agency, Llc
  Torrance, CA
• 01/2022 → 06/2023
  Lpl Financial, Llc
  Torrance, CA
• 11/2021 → Present
  Unify Federal Credit Union
  Torrance, CA
• 06/2023 → Present
  Ifp Securities, Llc
  Tampa, FL
• 06/2023 → Present
  Independent Financial Partners
  Tampa, FL
• 09/2025 → Present
  Osaic Wealth, Inc
  Torrance, CA

Previous Registrations

• 2023-06-08 → 2025-10-07
  Independent Financial Partners
  Torrance, CA
  Tampa, FL
  Hawthorne, CA
• 2022-01-04 → 2023-06-14
  Lpl Financial Llc
  Torrance, CA
  Torrance, CA
  Hawthorne, CA
  Torrance, CA
  Hawthorne, CA
  Torrance, CA
  Hawthrone, CA
• 2018-11-14 → 2021-11-18
  Avantax Advisory Services
  Torrance, CA
  Torrance, CA
  Rancho Palos Verdes, CA
• 2017-11-15 → 2018-10-13
  Osaic Institutions, Inc.
  Lakewood, CA
  Charlotte, NC
  Lakewood, CA
• 2015-10-05 → 2017-10-18
  Cetera Investment Advisers Llc
  San Jose, CA
• 2014-06-20 → 2015-10-02
  U.S. Bancorp Investments, Inc.
  Campbell, CA
  San Jose, CA
  Roseville, CA
  San Jose, CA

Other Businesses

1. LAWRENCE ROCHA, INSURANCE AGENT POSITION: Insurance Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 10/22/2025 ADDRESS: 205 S Broadway, Suite 208, Los Angeles CA 90012, United States DESCRIPTION: Offer and service a wide range of products, including life insurance, fixed annuities, disability, and long-term care insurance. 2. PARALLAX WEALTH MANAGEMENT POSITION: Financial Planner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/10/2026 ADDRESS: 205 S Broadway, Suite 208, Los Angeles CA 90012, United States DESCRIPTION: Parallax Wealth Management is a marketing name for securities, insurance, and advisory business. 3. LAWRENCE ROCHA, JR. POSITION: California Notary Public NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/30/2025 ADDRESS: 205 S Broadway, Suite 208, Los Angeles CA 90012, United States DESCRIPTION: I am a licensed California Notary Public, providing notarization services for client documents. I do not charge clients for this service, and I spend no more than one hour per month on this activity. I use my notary stamp solely for notarizing client documents in my professional capacity. This activity does not conflict with my primary duties or responsibilities, nor does it involve any other third-party notarization.

Exams

• S66 Uniform Combined State Law Examination
  2014-06-20
• S63 Uniform Securities Agent State Law Examination
  2010-04-23

Other Names

• Lawrence Rocha
• Lorenzo Rocha