Rocco J. Fiordelisi

DANA INVESTMENT ADVISORS

WEBSTER GROVES, MO 63119

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CRD#: 1889128

Professional summary

Rocco Joseph Fiordelisi III, CIMA®, CPWA®, who also goes by Rocco Joseph Fiodelisi III, Rocco Joseph Fiordelisi, is a registered financial advisor currently at DANA INVESTMENT ADVISORS INC located in Webster Groves, Missouri.

Rocco is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Rocco has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rocco Joseph Fiodelisi Iii | Rocco Joseph Fiordelisi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rocco Joseph Fiordelisi III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2008-04-30

Expire date: 2024-08-31

Experience

Current

March 6, 2015 - Present

DANA INVESTMENT ADVISORS INC

Office #1: 353 Marshall Avenue Suite A, Webster Groves, MO 63119

RIA

CRD#: 105879

WEBSTER GROVES, MO

Past

March 18, 2015 - May 4, 2016

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

August 4, 2010 - July 23, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

July 1, 2008 - July 23, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 15, 2006 - April 1, 2008

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK, NY

Past

December 21, 2005 - May 22, 2006

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

ST.LOUIS, MO

Past

December 16, 2005 - May 22, 2006

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

December 6, 2000 - October 14, 2005

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

ST. LOUIS, MO

Past

October 10, 2000 - October 14, 2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

June 2, 2000 - August 16, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 21, 1997 - May 16, 2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

February 29, 1996 - September 9, 1997

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

Past

February 28, 1996 - September 9, 1997

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

February 1, 1994 - March 25, 1996

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

March 26, 1992 - November 16, 1993

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

January 24, 1989 - January 28, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DANA INVESTMENT ADVISORS INC

CRD#: 105879 / SEC#: 801-14828

RIA

Registered Investment Advisory firm - (9/21/1979 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(3/6/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/8/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/16/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/16/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Current Firm

DANA INVESTMENT ADVISORS INC

CRD#: 105879 / SEC#: 801-14828

RIA

Registered Investment Advisory firm - (9/21/1979 Approved)

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Contact information

Main Address

20700 Swenson Drive, Suite 400, Waukesha, WI 53186-0904

Mailing Address

P.o. Box 1067, Brookfield, WI 53008-1067

Phone number

(262) 782-3631

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,699
AUM (Assets Under Management)	$ 5,757,433,150

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Rocco J. Fiordelisi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rocco Joseph Fiordelisi III's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNIFIED FINANCIAL SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ALPS DISTRIBUTORS, INC.

PGIM INVESTMENTS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PGIM INVESTMENTS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

MORGAN STANLEY DW INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

INVESCO CAPITAL MARKETS, INC.

UMB FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

DANA INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/2010

Series 63

Date: 2/16/1989

SIE

Date: 5/4/2016

Series 31

Date: 6/16/2000

Series 7

Date: 1/21/1989

Current Firm

DANA INVESTMENT ADVISORS INC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DANA INVESTMENT ADVISORS INC

TRUST BUT VERIFY

Contact information

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