Rocco N. Graziosi
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 Nick Graziosi, who also goes by Nick R Graziosi, Rocco Graziosi, was a registered financial professional .
Rocco is a previously registered financial professional and started their career in finance in 1995. Rocco had worked at 12 firms and has passed the Series 63, SIE 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
April 17, 2013 - October 2, 2015
LAIDLAW & COMPANY (UK) LTD.
April 9, 2008 - May 20, 2013
OBSIDIAN FINANCIAL GROUP, LLC
July 10, 2003 - April 29, 2008
EKN FINANCIAL SERVICES INC.
January 6, 2003 - April 28, 2003
S.W. BACH & COMPANY
January 24, 2002 - January 22, 2003
EKN FINANCIAL SERVICES INC.
July 26, 2001 - September 6, 2001
HARRISON SECURITIES, INC.
September 24, 1999 - March 27, 2001
WEATHERLY SECURITIES CORPORATION
October 15, 1998 - October 19, 1999
TASIN & COMPANY, INC.
January 5, 1998 - October 29, 1998
THE MINNEAPOLIS COMPANY, INC.
September 20, 1997 - December 31, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
August 13, 1997 - September 11, 1997
ALEX MOORE & COMPANY, INC.
July 10, 1997 - August 12, 1997
MAIDSTONE FINANCIAL, INC.
August 31, 1995 - July 1, 1997
H G I
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
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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