Philip James Cocce

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

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

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2024-04-09

Branch Locations

7500 Old Georgetown Rd Ste1200, Bethesda, MD 20814-6133 • United States

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

Organization	City	State	From	To
Pruco Securities, Llc	Needham	MA	08/2015	09/2017
Prudential Insurance Company Of America	Needham	MA	12/2015	09/2017
Hsbc Securities (Usa) Inc.	Alexandria	VA	10/2017	09/2018
Hsbc Bank Usa, N.A.	Alexandria	VA	09/2017	09/2018
Tiaa	Waltham	MA	09/2018	01/2020
Tiaa-Cref Individual & Institutional Services, Llc	Waltham	MA	09/2018	01/2020
Ameriprise Financial Services, Llc	Bethesda	MD	04/2021	Present
Unemployed	Weymouth	MA	01/2020	04/2021

08/2015 → 09/2017

Pruco Securities, Llc

Needham, MA
12/2015 → 09/2017

Prudential Insurance Company Of America

Needham, MA
10/2017 → 09/2018

Hsbc Securities (Usa) Inc.

Alexandria, VA
09/2017 → 09/2018

Hsbc Bank Usa, N.A.

Alexandria, VA
09/2018 → 01/2020

Tiaa

Waltham, MA
09/2018 → 01/2020

Tiaa-Cref Individual & Institutional Services, Llc

Waltham, MA
04/2021 → Present

Ameriprise Financial Services, Llc

Bethesda, MD
01/2020 → 04/2021

Unemployed

Weymouth, MA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-12-11
S63	Uniform Securities Agent State Law Examination	2015-11-09