With more than 20 years of experience in financial services, I am dedicated to helping individuals meet their financial needs by developing investment plans around their long-term goals and risk tolerance. My extensive experience - through major shifts in the markets - enables me to help my clients structure balanced portfolios to address their specific financial goals. It takes more than a single planning session to put your wealth to work in support of your life goals; it takes a process. As your life circumstances change, so must the investment strategies I use to help keep you on course toward your objectives. I began my financial services career in 1998 as a financial advisor with an investment firm on Wall Street after graduating from Rutgers University with a bachelor’s degree in economics. I also served clients for two years with Merrill Lynch’s Private Client Group before moving my financial practice to the Bucks County region with Wells Fargo Advisors in 2003. Committed to helping my community prosper I have been an active volunteer and board member for more than 10 years with Pennsbury Manor, the museum and reconstructed summer home of William Penn. I look forward to extending my services to you and your family.


Credentials:

Registrations: Series 7,63 and 65 securities

Licenses: Life and Health Insurance in several states including Pennsylvania and New Jersey
 

Chartered Retirement Planning Counselor (CRPC)

Hugo Rocha has earned his CRPC designation which focuses on building an in-depth knowledge of clients’ needs both before and after retirement. As a Chartered Retirement Plan Counselor, Hugo focuses on client centric problem solving as he assists clients planning for the entire retirement planning process, including planning for multiple financial objectives, identifying sources of retirement income, building personal savings, taking advantage of employer-sponsored retirement plans, planning for tax efficient investing, projecting and meeting retirement cash flow needs, asset management and estate planning.






2023 Philadelphia Five Star award winner



Disclosure:

2023 FIVE STAR WEALTH MANAGER

This award was issued on 11/01/2023 by Five Star Professional (FSP) for the time period 02/13/2023 through 08/31/2023. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 3,885 Philadelphia-area wealth managers were considered for the award; 328 (8% of candidates) were named 2023 Five Star Wealth Managers. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria-required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria-considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance. Wealth Managers may or may not use discretion in their practice and therefore may not manage their clients' assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.

I’m passionate about always providing excellent customer service and making my clients my number one priority. I have more than 30 years of customer service experience, 7 of those years as a Wells Fargo Bank N.A. Personal Banker, understanding and working with each client’s unique financial situation.  I also served as a Wells Fargo Advocate, dedicating my knowledge of financial awareness to the community in local school districts. I transitioned to Wells Fargo Advisors in 2021. I bring all this and more to my Client Associate role in order to provide you the best financial experience possible. I support the Financial Advisors and their clients by providing various administrative functions. My goal is to provide you with an excellent customer experience so that our team can help each one of you succeed financially.