Frank Paul Zocco

Current Employers

Employment History

• 05/2015 → 02/2018
  Cambridge Investment Reseach, Inc.
  Fairfield, IA
• 05/2015 → 02/2018
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 02/2018 → Present
  Jacobs Financial Partners
  Glastonbury, CT
• 02/2018 → 06/2021
  Voya Financial Advisors, Inc.
  Glastonbury, CT
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 08/2023 → Present
  Smart 401(K) Strategies
  Glastonbury, CT
• 08/2023 → Present
  Frank The 401K Guy
  Glastonbury, CT

Previous Registrations

• 2018-02-22 → 2021-06-09
  Voya Financial Advisors, Inc.
  Glastonbury, CT
  Windsor, CT
• 2015-05-04 → 2018-03-09
  Cambridge Investment Research Advisors, Inc.
  Middletown, CT
• 2009-01-02 → 2015-05-15
  Lpl Financial Llc
  West Hartford, CT
  Middletown, CT
• 2010-09-01 → 2011-12-31
  Stratos Wealth Partners, Ltd
  West Hartford, CT
• 2005-09-22 → 2008-12-31
  Osaic Fa, Inc.
  Newington, CT
  Newington, CT
  Hartford, CT
• 2004-10-28 → 2005-09-19
  Citizens Securities, Inc.
  Cromwell, CT
• 2004-04-16 → 2004-10-12
  Quick & Reilly, Inc.
  West Hartford, CT
• 2003-06-02 → 2004-04-02
  Citizens Securities, Inc.
  New London, CT

Other Businesses

1. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 95 GLASTONBURY BLVD STE 210; GLASTONBURY; CT; 6033; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/22/2018; 160; 160; SALE OF FIXED INSURANCE PRODUCTS; 2. NAME OF ENTITY:JACOB FINANCIAL PARTNERS; Yes; 95 GLASTONBURY BLVD STE 210; GLASTONBURY; CT; 6033; FINANCIAL SERVICES/DBA; FINANCIAL ADVISER; 2/22/2018; 160; 130; SALE AND SERVICE INSURANCE,SEUCRITIES AND INVESTMENT PRODUCTS; 3. NAME OF OTHER BUSINESS: SMART 401(K) STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING DBA: START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TO MARKET 401K BUSINESS; 4. NAME OF OTHER BUSINESS: FRANK THE 401K GUY; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING DBA: START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TO MARKET 401K BUSINESS; 5. NAME OF OTHER BUSINESS: DOUGH DADDY COOKS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BLOG; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: FOOD BLOGGER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE FOOD REVIEWS; 6. NAME OF OTHER BUSINESS: CT STATE COLLEGE; INVESTMENT RELATED: NO; ADDRESS: 683 HILLARD ST, MANCHESTER, CT 06042; NATURE OF BUSINESS: KITCHEN; START DATE: 5/2026; POSITION/TITLE/RELATIONSHIP: INTERN; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 6; BRIEF DESCRIPTION OF DUTIES: CO-OP IN KITCHEN - PREPPING AND COOKING;

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-05-30
• S63 Uniform Securities Agent State Law Examination
  1995-06-01

Designations