David A. Cuocolo
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.
David A Cuocolo, who also goes by David Anthony Cuocolo, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 27, Series 24, Series 10, Series 9, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2011 - December 31, 2020
M&T SECURITIES, INC.
August 18, 2011 - December 31, 2020
M&T SECURITIES, INC.
March 1, 2007 - August 29, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
March 26, 2004 - August 29, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
January 8, 2002 - May 29, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2001 - May 29, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 23, 1999 - August 8, 2000
WILMINGTON BROKERAGE SERVICES COMPANY
May 8, 1998 - March 23, 1999
IDS LIFE INSURANCE COMPANY
May 8, 1998 - March 23, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
December 19, 1995 - May 16, 1996
VANGUARD MARKETING CORPORATION
December 19, 1991 - April 29, 1992
HIBBARD BROWN & CO., 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 7TO
Date: 7/6/2022
General Securities Representative ExaminationSeries 99TO
Date: 7/6/2022
Operations Professional ExaminationSeries 57TO
Date: 7/6/2022
Securities Trader ExamSeries 55
Date: 6/3/2010
Limited Representative-Equity Trader ExamCurrent Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | PRINCIPAL FINANCIAL OFFICER/FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
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.
