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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-05-24
  • PA RA
    APPROVED
    Since 2023-05-24

Branch Locations

682 Main Street, Brockway, PA 15824 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

682 Main Street, Brockway, PA 15824 • 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
Atlas Brokerage Company, L.P. Washington PA 12/2003 05/2023
Independence Portfolio Partners Llc Washington PA 01/2006 05/2023
Cetera Advisor Networks Llc El Segundo CA 01/2013 05/2023
Lpl Financial Llc Brockway PA 05/2023 Present
  • 12/2003 → 05/2023
    Atlas Brokerage Company, L.P.
    Washington, PA
  • 01/2006 → 05/2023
    Independence Portfolio Partners Llc
    Washington, PA
  • 01/2013 → 05/2023
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 05/2023 → Present
    Brockway, PA
Previous Registrations
  • 2005-11-03 → 2023-05-26
    Cetera Wealth Services, Llc
    Brockway, PA
    El Segundo, CA
  • 2006-01-04 → 2008-12-31
    Blue Vase Capital Management
    Brockway, PA
  • 2004-04-12 → 2005-12-31
    Blue Vase Securities, Llc
    Brockway, PA
Other Businesses

1-12/2003 / Frank Zocco Financial / DBA for LPL Business (entity for LPL business) / Investment RELATED / 200 HR MNTH & 40 HRS DURING TRADING/ 100 TIME SPNT PRCNT 2-07/2010 / Rental Properties / Real Estate Rental / INVESTMENT RELATED / 200 HR MNTH & 40 HRS DURING TRADING/ 25 TIME SPNT PRCNT 3-12/2003 / Non-Variable Insurance / INVESTMENT RELATED / 200 HR MNTH & 40 HRS DURING TRADING/ 50 TIME SPNT PRCNT

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-28
S63 Uniform Securities Agent State Law Examination 1996-04-08
  • S65 Uniform Investment Adviser Law Examination
    1999-05-28
  • S63 Uniform Securities Agent State Law Examination
    1996-04-08
Other Names
  • Frank R. Zocco
  • Frank R Zocco

View on SEC IAPD

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