James Anthony Rocco

CRD 5417116 · Wells Fargo Advisors · Marco Island, FL

IA RegisteredBroker

Also appears in the source record as: James A Rocco

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 (31): Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kansas · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nevada · New Jersey · New York · North Carolina · North Dakota · Ohio · Pennsylvania · Puerto Rico · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin
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: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (12)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Marco Island, FL · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Marco Island, FL · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Marco Island, FL · IA capacity

start not retrieved → present
J.P. Morgan Securities LLC
Naples, FL · IA capacity

Oct 1, 2012 → Dec 12, 2014
J.P. Morgan Securities LLC
Naples, FL · BC capacity

Oct 1, 2012 → Dec 12, 2014
Chase Investment Services Corp.
Riverhead, NY · IA capacity

Oct 28, 2011 → Oct 1, 2012
Chase Investment Services Corp.
Riverhead, NY · BC capacity

Oct 28, 2011 → Oct 1, 2012
Citigroup Global Markets Inc.
Manhasset, NY · BC capacity

Jun 21, 2010 → Oct 13, 2011
Citigroup Global Markets Inc.
Manhasset, NY · IA capacity

Jun 15, 2010 → Oct 13, 2011
National Securities Corporation
Huntington, NY · BC capacity

Mar 17, 2009 → May 8, 2009
Banc Of America Investment Services, Inc.
Melville, NY · IA capacity

Dec 9, 2008 → Feb 26, 2009
Banc Of America Investment Services, Inc.
Melville, NY · BC capacity

Oct 17, 2008 → Feb 26, 2009

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5417116 ↗ FINRA BrokerCheck record for CRD 5417116 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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