GF
Glenn W. Fiocca
NFSG
SYOSSET, NY 11791
Some features on this profile are disabled
CRD#: 2566013
GF
Professional summary
Glenn William Fiocca, who also goes by Glenn W Fiocca, Glenn W Flocca, is a registered financial advisor currently at NFSG CORPORATION located in Syosset, New York and NEWBRIDGE SECURITIES CORPORATION located in Syosset, New York.
Glenn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Glenn has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Glenn W Fiocca | Glenn W Flocca
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.
1) G. FIOCCA SECURITIES, LLC, 6800 JERICHO TURNPIKE, SYOSSET, NY, TITLE: PRESIDENT/OWNER, DATE OF EMP: 05/2007, DUTIES:OWNER AND FINANCIAL ADVISOR, NATURE OF BUS: TRACKING OF EXPENSES FOR SYOSSET OFFICE., % OF TIME: 100% 2) FIXED INSURANCE AND ANNUITY SALES: INSURANCE LICENSE/AGENT/SALES; SELL LIFE INSURANCE AND ANNUITIES TO EXISTING AND NEW CLIENTS, SYOSSET, NY, INVESTMENT RELATED, TIME SPEND DURING REGULAR BUSINESS IS 30 MINUTES. 3) ZEMPLOYED INC.: 8/2021- CORPORATION - BUSINESS IS OWNED AND OPERATED BY MY SON TO CATER TOWARDS THE INTERSHIP INDUSTRY. BUSINESS INVESTOR AND NOT INVOLVED IN THE DAY-TO-DAY BUSINESS ACTIVITIES OF THE COMPANY. NOT INVESTMENT RELATED AND TIME SPEND ON THIS DURING REGULAR BUSINESS HOURS IS ZERO. 4) UNSUNG SIBLINGS' FOUNDATIONS - 10/15/2024 - BOARD MEMBER - ONGOING, A NON-PROFIT THAT RAISES MONEY FOR FAMILIES WITH AUTISTIC CHILDREN AS WELL AS HELPING VETERANS. WILL ASSIST WITH TWO ANNUAL FUNDRAISES - NO COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Glenn William Fiocca'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
May 1, 2017 - Present
NFSG CORPORATION
Office #1: 6800 Jericho Turnpike, Suite 118e, Syosset, NY 11791RIA
CRD#: 130814
SYOSSET, NY
Current
January 22, 2007 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 6800 Jericho Turnpike Suite 118e, Syosset, NY 11791BD
CRD#: 104065
Syosset, NY
Past
September 22, 2003 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
BD
CRD#: 2061
SYOSSET, NY
Past
February 7, 1997 - October 17, 2003
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
January 12, 1995 - February 20, 1997
A.S. GOLDMEN & CO., INC.
BD
CRD#: 23180
RED BANK, NJ
Past
January 3, 1995 - January 17, 1995
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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.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
Arizona(9/23/2008)
RR
Arkansas(12/14/2016)
RR
California(1/24/2007)
RR
Colorado(1/24/2007)
RR
Connecticut(1/24/2007)
RR
Delaware(1/28/2022)
RR
District of Columbia(1/24/2007)
RR
Florida(2/8/2007)
RR
Georgia(1/24/2007)
RR
Idaho(1/15/2008)
RR
Illinois(1/24/2007)
RR
Indiana(12/17/2012)
RR
Iowa(1/24/2007)
RR
Kansas(3/22/2019)
RR
Maryland(2/20/2007)
RR
Massachusetts(1/24/2007)
RR
Michigan(1/24/2007)
RR
Missouri(7/10/2013)
RR
Nebraska(3/22/2019)
RR
Nevada(3/31/2023)
RR
New Hampshire(7/18/2024)
RR
New Jersey(1/24/2007)
IAR
New Jersey(5/1/2017)
RR
New York(1/22/2007)
IAR
New York(4/1/2021)
RR
North Carolina(4/4/2019)
RR
North Dakota(4/28/2016)
RR
Ohio(1/24/2007)
RR
Oklahoma(3/22/2019)
RR
Oregon(4/28/2016)
RR
Pennsylvania(1/24/2007)
RR
Puerto Rico(6/24/2021)
RR
South Carolina(1/8/2019)
RR
South Dakota(1/24/2007)
RR
Tennessee(1/10/2020)
RR
Texas(4/28/2016)
IAR
Texas(1/4/2019)
RR
Utah(1/24/2007)
RR
Vermont(7/27/2023)
RR
Virginia(11/14/2011)
RR
Washington(1/24/2007)
RR
West Virginia(1/26/2016)
RR
Wisconsin(2/5/2013)
Exams
State Security Law Exam
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
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
