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Judith Ann Tocco

LPl Financial LLC

Tucson, AZ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2008-10-09
  • TX RA
    APPROVED_RES
    Since 2008-10-09

Branch Locations

1647 N Swan Rd, Tucson, AZ 85712-4046 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Tucson AZ 04/2005 Present
Other Businesses

1. 4/28/2005 - NON-VARIABLE INSURANCE - INSURANCE - LIFE - TUCSON, AZ. 2. 5/30/2014: OTHER - NOTARY PUBLIC - PROVIDE NOTARY SERVICES AT NO CHARGE TO CLIENTS AS NEEDED. - TUCSON, AZ. 3. 6/24/2015: TOCCO FAMILY LIMITED PARTNERSHIP - NOT INV REL - 8253 S. CIRCLE R RANCH PLACE, VAIL, AZ 85641 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - START: 12/24/2014 - 1 HOUR PER MONTH NONE DURING TREADING 4. 06/26/2015 - PRIMA VITA LLC- BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - GENERAL PARTNER OF FAMILY LIMITED PARTNERSHIP. - NOT INV REL - START 11/19/2014 - 1 HR/MO NOT DURING SECS TRDG HRS 5. 10/21/2015 - Tocco Touch LLC - INV REL - 8253 S Circle R Ranch Place, Vail, AZ 85641 - Business Entity For Tax/Investment Purposes Only - START 11/16/2016 - 1 HOURS PER MONTH - New commercial business property to be held in this LLC. 6. 08/03/2016 * Tocco Financial Services * DBA for LPL Business (entity for LPL business) * Tocco Financial Services, Inc. * INV REL * 1647 N. Swan Road, Tucson, AZ 85712 * START 04/01/2005 * 200 HRS/MO; 160 DURING SECS TRDG HRS. 7. 11/18/2020 - Tocco Financial Team - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/28/2020 - 0 Hours Per Month. 8. 2/27/2023 - Aspire Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/01/2023 - 200 Hours Per Month/8 Hours During Securities Trading. 9. 9/28/2023: Aspire Wealth Team; At reported business location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 8/1/2023; 0hrs/mo. during trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-10-30
S63 Uniform Securities Agent State Law Examination 1989-07-20
  • S65 Uniform Investment Adviser Law Examination
    2008-10-30
  • S63 Uniform Securities Agent State Law Examination
    1989-07-20
Designations
Other Names
  • Judith Tocco King

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