AR
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Anthony Theodore Rocha

29 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement Planning
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
531 advisors
Number of Clients
26,942 clients
Average Client Portfolio
$395K average
Assets Under Management
$10.6B

Fee Structure

Minimum Investment:$10K
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Location

16150 N. Arrowhead Fountains Center Dr., Suite 345, Peoria, AZ, 85382

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Anthony conducts brokerage, advisory, insurance, and financial planning services under the DBA PFG Advisors, dedicating full-time hours. He also provides advisory services through PFG Advisors, Charles Schwab, and Assetmark, spending about 10-20% of his time, and provides life insurance and long-term care products to clients, spending a few hours per week.

Employment History
Current Registrations
Pfg Advisors
June 2020 - Present · 5 yrs 8 mos
Previous Registrations
Osaic Wealth, INC.Broker
June 2024 - November 2025 · 1 yr 5 mos
Securities America, INC.Broker
October 2017 - June 2024 · 6 yrs 8 mos
LPL Financial LLCBroker
January 2009 - October 2017 · 8 yrs 9 mos
Wachovia Securities, LLC
January 2008 - January 2009 · 1 yr
Wachovia Securities, LLCBroker
May 2007 - January 2009 · 1 yr 8 mos
Compass Brokerage, INC.Broker
March 2003 - May 2007 · 4 yrs 2 mos
Scottsdale Capital Advisors CORPBroker
September 2002 - March 2003 · 6 mos
Gainey Financial Services, INC.Broker
February 1999 - October 2002 · 3 yrs 8 mos
Sunamerica Securities, INC.Broker
October 1996 - February 1999 · 2 yrs 4 mos
State Registrations22 states
AZCACOCTFLGAINKSMIMNMTNENJNMNVOHORSDTXVAVTWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.