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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

ROC WILLIAM WILLIS

Advisor at OPPENHEIMER & CO. INC.

BELLEVUE, WA | LAKE OSWEGO, OR | LAS VEGAS, NV

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Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 24, 1998 to Sep 16, 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: OPPENHEIMER & CO. 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: Mar 28, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Mar 28, 1983
First registration: Aug 24, 1998
Dual registered: yes, broker-dealer
Other names: ROC WILLIAM FISH
IAPD individual key: 1110815

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
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Dec 2, 2024	n/a	yes	BELLEVUE, WA\|LAKE OSWEGO, OR\|LAS VEGAS, NV	Current employment
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Feb 17, 2011	Dec 15, 2024	no	NEWPORT BEACH, CA\|WOODLAND HILLS, CA\|LOS ANGELES, CA\|NEWPORT BEACH, CA\|LA JOLLA, CA\|SAN DIEGO, CA\|SOLANA BEACH, CA\|BOISE, ID\|Traverse City, MI\|PORTLAND, OR\|LAKE OSWEGO, OR\|SEATTLE, WA\|SACRAMENTO, CA\|LOS ANGELES, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Jan 31, 2011	no	LA JOLLA, CA\|LA JOLLA, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	May 7, 2004	Jan 1, 2008	no	LA JOLLA, CA\|ST. LOUIS, MO	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 24, 1998	May 20, 2004	no	PALM DESERT, CA	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
WEDBUSH SECURITIES INC.	OPPENHEIMER & CO. INC.	Dec 15, 2024	Dec 2, 2024	-13	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	WEDBUSH SECURITIES INC.	Jan 31, 2011	Feb 17, 2011	17	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	A. G. EDWARDS & SONS, INC.	May 20, 2004	May 7, 2004	-13	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
877:249:CA:2024-12-15	Dec 15, 2024	Dec 2, 2024	LOS ANGELES, CA	Firm change

Relationships

Registered with (5)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Dec 2, 2024 to presentfactForm ADV
→ WEDBUSH SECURITIES INC.Registered adviserregistration: previous registration
Feb 17, 2011 to Dec 15, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Jan 31, 2011factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
May 7, 2004 to Jan 1, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 24, 1998 to May 20, 2004factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 15, 2024
Advisor changed firm
Roc William Willis left Wedbush Securities Inc. for Oppenheimer & Co. Inc. (registered 2024-12-02)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Sep 15, 2026
Roc William Willis added a NV registration at Oppenheimer & Co. Inc.