Lawrence Rocha
Investment adviser representative at Osaic Wealth, Inc.
11 yearsExperience
3 statesRegistered in
$234.9BFirm assets
29 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 fee
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.
- Osaic Wealth, Inc.Sep 2025 to now
- Ifp Securities, LLCJun 2023 to now
- Independent Financial PartnersJun 2023 to now
- Unify Federal Credit UnionNov 2021 to now
- LPL Financial, LLCJan 2022 to Jun 2023
- Avantax Advisory ServicesNov 2018 to Nov 2021
- Avantax Insurance Agency, LLCNov 2018 to Nov 2021
- Avantax Investment Services, Inc.Nov 2018 to Nov 2021
- First BankNov 2017 to Oct 2018
- Infinex Investments, Inc.Nov 2017 to Oct 2018
- Cetera Investment Advisers LLCOct 2015 to Oct 2017
- Cetera Investment Services LLCOct 2015 to Oct 2017
- Technology Credit UnionOct 2015 to Oct 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2010
- Series 66 · Uniform Combined State Law2014
State registrations
Registered as an investment adviser representative in 3 states (AZ, CA, TX).
Osaic Wealth, Inc.
$234.9BAssets managed
575,512Clients
7,792Advisers
29 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
- 5771536
- Firm CRD
- 23131