AA
Anthony P. Allocco
PIMCO INVESTMENTS LLC
New York, NY 10019
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CRD#: 2115295
AA
Professional summary
Anthony Pedro Allocco, who also goes by Anthony P Allocco, Tony Allocco, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1991. Anthony has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Anthony P Allocco | Tony Allocco
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.
CRS (Client Relationship Summary) - BD
Click below to view Anthony Pedro Allocco's 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®
NoneExperience
Current
June 16, 2022 - Present
PIMCO INVESTMENTS LLC
Office #1: 1633 Broadway 45th Floor, New York, NY 10019BD
CRD#: 154957
New York, NY
Past
February 2, 2021 - June 22, 2022
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
JERSEY CITY, NJ
Past
May 25, 2019 - November 19, 2020
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
NEW YORK, NY
Past
August 14, 2001 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
June 19, 2000 - July 20, 2001
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
January 1, 1997 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
BD
CRD#: 38293
NEW YORK, NY
Past
May 26, 1995 - June 5, 1996
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
May 6, 1991 - June 5, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
January 4, 1991 - January 30, 1991
OXFORD CAPITAL SECURITIES, INC.
BD
CRD#: 19568
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2023)
RR
Alaska(1/3/2023)
RR
Arizona(1/3/2023)
RR
Arkansas(1/3/2023)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Connecticut(9/8/2022)
RR
Delaware(9/8/2022)
RR
District of Columbia(1/3/2023)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Hawaii(1/3/2023)
RR
Idaho(1/3/2023)
RR
Illinois(9/8/2022)
RR
Indiana(1/3/2023)
RR
Iowa(9/8/2022)
RR
Kansas(9/8/2022)
RR
Kentucky(9/8/2022)
RR
Louisiana(1/3/2023)
RR
Maine(1/3/2023)
RR
Maryland(9/8/2022)
RR
Massachusetts(9/8/2022)
RR
Michigan(1/3/2023)
RR
Minnesota(1/3/2023)
RR
Mississippi(1/3/2023)
RR
Missouri(1/3/2023)
RR
Montana(1/3/2023)
RR
Nebraska(1/3/2023)
RR
Nevada(1/3/2023)
RR
New Hampshire(9/8/2022)
RR
New Jersey(9/8/2022)
RR
New Mexico(1/3/2023)
RR
New York(6/16/2022)
RR
North Carolina(9/8/2022)
RR
North Dakota(1/3/2023)
RR
Ohio(9/9/2022)
RR
Oklahoma(1/3/2023)
RR
Oregon(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
Puerto Rico(1/3/2023)
RR
Rhode Island(9/8/2022)
RR
South Carolina(1/3/2023)
RR
South Dakota(1/3/2023)
RR
Tennessee(9/8/2022)
RR
Texas(1/3/2023)
RR
Utah(1/3/2023)
RR
Vermont(1/3/2023)
RR
Virgin Islands(1/3/2023)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
RR
West Virginia(1/3/2023)
RR
Wisconsin(9/8/2022)
RR
Wyoming(1/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
