Rocco P. Capoccia
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 Peter Capoccia was a registered financial professional .
Rocco is a previously registered financial professional and started their career in finance in 1990. Rocco had worked at 12 firms and has passed the Series 63 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
February 1, 2013 - July 24, 2013
JVB FINANCIAL GROUP, LLC
May 23, 2011 - December 11, 2012
JVB FINANCIAL GROUP, LLC
April 15, 2010 - January 25, 2011
DINOSAUR FINANCIAL GROUP, L.L.C
November 17, 2009 - January 5, 2010
SSC NY CORP.
July 10, 2008 - October 20, 2009
SCOTT & STRINGFELLOW, LLC
December 3, 2007 - July 2, 2008
CANTOR FITZGERALD & CO.
May 31, 2007 - December 4, 2007
GAR WOOD SECURITIES, LLC
January 20, 2004 - May 10, 2005
MAXIM GROUP LLC
September 14, 1999 - February 12, 2004
THE WILLIAMS CAPITAL GROUP, L.P.
May 13, 1998 - June 3, 1999
B. C. ZIEGLER AND COMPANY
August 2, 1993 - December 19, 1997
J.P. MORGAN SECURITIES INC.
December 3, 1991 - August 17, 1993
CITICORP SECURITIES, INC.
July 11, 1990 - October 11, 1991
CITIGROUP GLOBAL MARKETS 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
Current Firm
JVB FINANCIAL GROUP, LLC
CRD#: 104412 / SEC#: , 8-52877
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JVB FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| BURKLIN, STEPHAN GEORGE | MANAGER & COO | 1808970 |
| BUTKEVITS, VINCENT WILLIAM III | PRESIDENT, CEO | 1818987 |
| DOBIE, ROBERT DENNIS | CFO, FINOP | 5453400 |
| HATTON, JOHN CHRISTOPHER | MUNICIPAL SECURITIES PRINCIPAL | 1570311 |
| SILBERMAN, JEFFREY DAVID | CHIEF LEGAL OFFICER | 5726501 |
| VACCA, KATHARINE ELIZABETH | CCO | 1821586 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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