Peter V. Cocuzza
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Vincent Cocuzza was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 55, Series 3 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2016 - June 25, 2025
ACS EXECUTION SERVICES, LLC
August 31, 2015 - February 23, 2016
ESSEX RADEZ LLC
August 20, 2014 - June 19, 2015
VANDHAM SECURITIES CORP.
February 3, 2012 - December 31, 2012
ZYNIN CAPITAL MANAGEMENT LLC
November 15, 2000 - March 30, 2007
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 20, 1994 - November 10, 2000
UBS ASSET MANAGEMENT (US) INC.
August 21, 1984 - September 21, 1994
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/3/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 1/25/1983
Foreign Currency Options ExaminationCurrent Firm
ACS EXECUTION SERVICES, LLC
CRD#: 17972 / SEC#: , 8-36005
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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