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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

Brenda Brooks Rocchio

Advisor at LPL FINANCIAL LLC

SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:a57a26a9-2788-c647-00e7-c1924bfa25fa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jul 1, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 28, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Jul 28, 1994
First registration: Jul 1, 2015
Dual registered: yes, broker-dealer
Other names: BRENDA L BROOKS|BRENDA LANE BROOKS|BRENDA LANE ROCCHIO|BRENDA BROOKS ROCCHIO
IAPD individual key: 2456572

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 11, 2025	n/a	yes	SAN ANTONIO, TX	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Apr 22, 2025	Aug 28, 2025	no	San Antonio, TX\|San Antonio, TX	Previous registration
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Dec 3, 2024	Apr 4, 2025	no	San Antonio, TX	Previous registration
PRIME CAPITAL FINANCIAL	Mixed wealth	Aug 11, 2017	Jul 13, 2018	no	Boerne, TX\|OVERLAND PARK, KS	Previous registration
LAWING FINANCIAL INC	Former SEC adviser	May 8, 2017	Oct 13, 2017	no	Boerne, TX\|OVERLAND PARK, KS	Previous registration
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Jul 1, 2015	May 2, 2017	no	SPRING BRANCH, TX\|SAN ANTONIO, TX\|FREDERICKSBURG, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	LPL FINANCIAL LLC	Aug 28, 2025	Sep 11, 2025	14	Firm change	Ibd to ibd
ALLSTATE FINANCIAL ADVISORS, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Apr 4, 2025	Apr 22, 2025	18	Firm change	Ibd to ibd
PRIME CAPITAL FINANCIAL	ALLSTATE FINANCIAL ADVISORS, LLC	Jul 13, 2018	Dec 3, 2024	2,335	Firm change after gap	Other
LAWING FINANCIAL INC	PRIME CAPITAL FINANCIAL	Oct 13, 2017	Aug 11, 2017	-63	Bulk transfer	Other
INVESTMENT PROFESSIONALS, INC.	LAWING FINANCIAL INC	May 2, 2017	May 8, 2017	6	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149018:6413:TX:2025-08-28	Aug 28, 2025	Sep 11, 2025	SAN ANTONIO, TX	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 11, 2025 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Apr 22, 2025 to Aug 28, 2025factForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 3, 2024 to Apr 4, 2025factForm ADV
→ PRIME CAPITAL FINANCIALRegistered adviserregistration: previous registration
Aug 11, 2017 to Jul 13, 2018factForm ADV
→ LAWING FINANCIAL INCRegistered adviserregistration: previous registration
May 8, 2017 to Oct 13, 2017factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Jul 1, 2015 to May 2, 2017factForm ADV

Dated events

Occurred
Aug 28, 2025
Advisor changed firm
Brenda Brooks Rocchio left Raymond James Financial Services Advisors, Inc for Lpl Financial Llc (registered 2025-09-11)
Form ADVobserved 5 days ago
Occurred
Apr 4, 2025
Advisor changed firm
Brenda Brooks Rocchio left Allstate Financial Advisors, Llc for Raymond James Financial Services Advisors, Inc (registered 2025-04-22)
Form ADVobserved 5 days ago