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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-01-02
  • CT RA
    APPROVED
    Since 2009-01-02

Branch Locations

44 Old Ridgefield Road Suite 234, Wilton, CT 06897 • 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
Raymond James Financial Services Wilton CT 02/2008 Present
Raymond James Financial Services Advisors, Inc Wilton CT 01/2009 Present
Other Businesses

(1)Name of Business: Address: 72 Myrtle St, Norwalk, CT, 06855, United States Activity Type: Other Position/Title: Independent Contractor Investment Related: No Start Date: 03/22/2010 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 0-1 Description of duties: High school lacrosse and football referee

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-07
S63 Uniform Securities Agent State Law Examination 1988-02-25
  • S65 Uniform Investment Adviser Law Examination
    2008-04-07
  • S63 Uniform Securities Agent State Law Examination
    1988-02-25
Other Names
  • Anthony J Rocco

View on SEC IAPD

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