Rocco A. Greco
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.
Rocco Anthony Greco was a registered financial professional .
Rocco is a previously registered financial professional and started their career in finance in 1987. Rocco had worked at 8 firms and has passed the Series 63, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 1999 - March 2, 2004
CITICORP INVESTMENT SERVICES
October 5, 1998 - February 10, 1999
ON-SITE TRADING, INC.
September 3, 1996 - July 1, 1998
SECURITIES AMERICA, INC.
February 24, 1995 - August 22, 1996
DIME SECURITIES, INC.
July 31, 1993 - March 6, 1995
CITIGROUP GLOBAL MARKETS INC.
April 17, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
March 3, 1987 - February 27, 1989
POWER SECURITIES CORPORATION
February 3, 1987 - February 17, 1987
FORESTERS 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: 12/28/1998
Limited Representative-Equity Trader ExamCurrent Firm
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
Red Flags
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