Antonio Rocha jr.
Investment adviser representative at UBS Financial Services Inc.
11 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- UBS Financial Services Inc.Apr 2024 to now
- CitigroupSep 2022 to Apr 2024
- Morgan Stanley Smith Barney LLCMar 2021 to Sep 2022
- Wells Fargo Clearing Services, LLCNov 2016 to Mar 2021
- Wells Fargo Advisors, LLCSep 2015 to Nov 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law2016
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 1 state (FL).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4645735
- Firm CRD
- 8174