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William Robert Cocozza

Fisher Investments

Plano, TX

Tampa, FL

CRD 2419420

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Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • PORTFOLIO ASSESSMENT

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

Current Employers
Fisher Investments

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-05-14
TX RA APPROVED 2024-05-09
  • FL RA
    APPROVED
    Since 2024-05-14
  • TX RA
    APPROVED
    Since 2024-05-09

Branch Locations

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

3109 W Dr. Martin Luther King Blvd Suite 600, Tampa, FL 33607 • 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
Franklin Distributors, Llc St. Petersburg FL 07/2021 11/2023
Fisher Investments Tampa FL 03/2024 Present
Unemployed Seminole FL 12/2023 02/2024
Franklin Templeton Distributors, Inc. St. Petersburg FL 12/1997 11/2023
  • 07/2021 → 11/2023
    Franklin Distributors, Llc
    St. Petersburg, FL
  • 03/2024 → Present
    Fisher Investments
    Tampa, FL
  • 12/2023 → 02/2024
    Unemployed
    Seminole, FL
  • 12/1997 → 11/2023
    Franklin Templeton Distributors, Inc.
    St. Petersburg, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-09
S63 Uniform Securities Agent State Law Examination 1998-05-14
  • S65 Uniform Investment Adviser Law Examination
    2024-05-09
  • S63 Uniform Securities Agent State Law Examination
    1998-05-14
Other Names
  • Bill Cocozza
  • William R Cocozza

View on SEC IAPD

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