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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

ARTURO ROCHA

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Euless, TX

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Search this name across graphsid dfx:ria:d55c2f33-9a55-776f-465d-ab905bb623d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 12, 2004 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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 7, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 7, 1999
First registration: Jan 12, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 3256759

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 27, 2021	n/a	yes	Euless, TX	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Aug 14, 2015	Sep 14, 2021	no	IRVING, TX\|ST. PETERSBURG, FL	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jun 7, 2012	Dec 31, 2013	no	PLANO, TX\|IRVING, TX\|ST. PETERSBURG, FL	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 27, 2011	Jul 8, 2011	no	DALLAS, TX	Previous registration
WADDELL & REED	Former SEC adviser	Sep 27, 2005	Jan 14, 2011	no	DENVER, CO\|AUSTIN, TX	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	May 4, 2004	Feb 14, 2005	no	AUSTIN, TX	Previous registration
WADDELL & REED	Former SEC adviser	Jan 12, 2004	Apr 21, 2004	no	EL PASO, 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 & ASSOCIATES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 14, 2021	Sep 27, 2021	13	Firm change	Ibd to ibd
TRANSAMERICA FINANCIAL ADVISORS, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Dec 31, 2013	Aug 14, 2015	591	Firm change after gap	Other
MML INVESTORS SERVICES, LLC	TRANSAMERICA FINANCIAL ADVISORS, LLC	Jul 8, 2011	Jun 7, 2012	335	Firm change	Other
WADDELL & REED	MML INVESTORS SERVICES, LLC	Jan 14, 2011	May 27, 2011	133	Firm change	Other
EQUITABLE ADVISORS, LLC	WADDELL & REED	Feb 14, 2005	Sep 27, 2005	225	Firm change	Other
WADDELL & REED	EQUITABLE ADVISORS, LLC	Apr 21, 2004	May 4, 2004	13	Firm change	Other

Relationships

Registered with (6)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Sep 27, 2021 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Aug 14, 2015 to Sep 14, 2021factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 7, 2012 to Dec 31, 2013factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
May 27, 2011 to Jul 8, 2011factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Sep 27, 2005 to Jan 14, 2011factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
May 4, 2004 to Feb 14, 2005factForm ADV

Dated events

No dated event names this entity yet.