Cesar Rocha

CRD 4870402 · Charles Schwab & Co., Inc. · Los Angeles, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (13): Arizona · California · Colorado · Florida · Hawaii · Iowa · Massachusetts · Nevada · Ohio · Oregon · Texas · Virginia · Washington
Years in the industry (source record): 17
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (10)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Los Angeles, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Los Angeles, CA · BC capacity

start not retrieved → present
Td Ameritrade, Inc.
Los Angeles, CA · BC capacity

Apr 11, 2023 → Jul 29, 2024
Wells Fargo Clearing Services, LLC
Manhattan Beach, CA · IA capacity

Dec 8, 2020 → Nov 12, 2021
Wells Fargo Clearing Services, LLC
Manhattan Beach, CA · BC capacity

Dec 20, 2017 → Nov 12, 2021
J.P. Morgan Securities LLC
Montebello, CA · BC capacity

Oct 1, 2012 → Oct 13, 2017
Chase Investment Services Corp.
Los Angeles, CA · BC capacity

May 9, 2011 → Oct 1, 2012
Wamu Investments, Inc.
Los Angeles, CA · BC capacity

Feb 14, 2006 → Nov 30, 2007
Aig Financial Advisors, Inc.
Scottsdale, AZ · BC capacity

Oct 31, 2005 → Dec 6, 2005
Sunamerica Securities, Inc.
Phoenix, AZ · BC capacity

Jan 1, 2005 → Oct 31, 2005

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4870402 ↗ FINRA BrokerCheck record for CRD 4870402 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.