Guy Gabriel Cococcetta

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2010-01-28

MI RA
APPROVED

Since 2010-01-28

Branch Locations

Macomb, MI • United States

300 Parkland Plaza, Ann Arbor, MI 48103 • 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

Organization	City	State	From	To
Sigma Financial Corporation	Ann Arbor	MI	06/2009	Present

06/2009 → Present

Sigma Financial Corporation

Ann Arbor, MI

Previous Registrations

2005-02-02 → 2009-06-16

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Farmington Hills, MI

Clinton Township, MI

Farmington Hills, MI

Other Businesses

Dentist with Wellpath (formerly Correct Care Solutions), 43565 Elizabeth Rd, Mount Clemens, MI. Perform general dentistry on patients. Start date: 11/20/18, approx. 52 hrs/mo with 30% during mkt hrs. INV REL: N dba - Guy G. Cococcetta CFP, AIF, LLC. Business name used to offer financial services through Sigma Financial Corporation and SPC. Start date: 11/7/22, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-02-01
S63	Uniform Securities Agent State Law Examination	2003-05-28

S65 Uniform Investment Adviser Law Examination

2005-02-01
S63 Uniform Securities Agent State Law Examination

2003-05-28

Designations

Certified Financial Planner

View on SEC IAPD