Joseph Rochez

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-08-31
CA	RA	APPROVED	2026-08-17

TX RA
APPROVED

Since 2026-08-31
CA RA
APPROVED

Since 2026-08-17

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

5260 N Palm Ave, Fresno, CA 93704 • 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
Wells Fargo Clearing Services, Llc	Fresno	CA	11/2025	05/2026
Wells Fargo Bank, Na	Fresno	CA	10/2025	05/2026
United States Navy	Lemoore	CA	02/2013	06/2021
Era Valley Pro Realty	Visalia	CA	04/2018	10/2020
Century 21	Hanford	CA	10/2020	10/2022
Keller Williams Realty	Hanford	CA	10/2022	10/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Fresno	CA	05/2026	Present
Bank Of America, N.A.	Fresno	CA	08/2026	Present

11/2025 → 05/2026

Wells Fargo Clearing Services, Llc

Fresno, CA
10/2025 → 05/2026

Wells Fargo Bank, Na

Fresno, CA
02/2013 → 06/2021

United States Navy

Lemoore, CA
04/2018 → 10/2020

Era Valley Pro Realty

Visalia, CA
10/2020 → 10/2022

Century 21

Hanford, CA
10/2022 → 10/2025

Keller Williams Realty

Hanford, CA
05/2026 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fresno, CA
08/2026 → Present

Bank Of America, N.A.

Fresno, CA

Other Businesses

RENTAL PROPERTY - SANDRA; INV RELATED; HOUSTON,TX; RENTAL;100% OWNERSHIP; START DATE: 06/302024; 1 HRS PER MONTH; 0 HRS DURING TRADING; |REAL ESTATE; INV RELATED; NA,CA; REAL ESTATE ; START DATE: 04/16/2018; 1 HRS PER MONTH; 0 HRS DURING TRADING;| I*4724281, Entity Type, Name of OBA: Rental Property - 16-Jun-26 - 1 Address: HOUSTON Texas 77028 Investment Related: No Position, Title, Association:Sole owner Employee Start Date: 07/02/2024 No Hours: 0 No Hours during trading: 0 Duties: I*4724283, Entity Type Entity For Profit, Name of OBA:Rochez Real Estate Properties LLC Address: hanford California 93230 Investment Related: No Position, Title, Association: Officer Employee Start Date: 05/24/2022 No Hours: 0 No Hours during trading: 0 Duties:I am the sole owner and only use this has an entity to hold properties, collect rental income and any real estate investment transactions. I have not major responsibility I use this LLC to collect income from my rental properties and real estate investment actives

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-08-17
S63	Uniform Securities Agent State Law Examination	2025-12-04

S66 Uniform Combined State Law Examination

2026-08-17
S63 Uniform Securities Agent State Law Examination

2025-12-04

View on SEC IAPD