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James Wallace Dicocco

LPl Financial LLC

Los Angeles, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-03-11
  • CA RA
    APPROVED
    Since 2021-03-11

Branch Locations

11620 Wilshire Blvd. Ste 400, Los Angeles, CA 90025 • 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
Ameriprise Financial Services, Inc. Century City CA 10/2009 03/2021
Ameriprise Financial Services, Inc. Los Angeles CA 10/2009 03/2021
Lpl Financial, Llc Los Angeles CA 03/2021 Present
  • 10/2009 → 03/2021
    Ameriprise Financial Services, Inc.
    Century City, CA
  • 10/2009 → 03/2021
    Ameriprise Financial Services, Inc.
    Los Angeles, CA
  • 03/2021 → Present
    Lpl Financial, Llc
    Los Angeles, CA
Previous Registrations
Other Businesses

1)03/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - PERENNIAL FINANCIAL SERVICES, LLC - INVESTMENT RELATED - LOS ANGELES, CA 90025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-05-19
S63 Uniform Securities Agent State Law Examination 1990-11-14
  • S65 Uniform Investment Adviser Law Examination
    2009-05-19
  • S63 Uniform Securities Agent State Law Examination
    1990-11-14
Other Names
  • James Wallace Dicocco

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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