Robert J. Radoccia

THE CAPITAL GROUP FIDUCIARY ADVISORS

Cranston, RI 02920

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CRD#: 2591278

Professional summary

Robert John Radoccia is a registered financial advisor currently at THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC located in Cranston, Rhode Island and AUSDAL FINANCIAL PARTNERS, INC. located in Cranston, Rhode Island.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INSURANCE SALES; INVESTMENT RELATED; CRANSTON, RI; SALE OF VARIOUS INSURANCE PRODUCTS; AGENT; ACTIVITY BEGAN IN 1995;I DEVOTE APPROXIMATELY 4 HOURS PER MONTH TO THIS ACTIVITY WITH ONE OF THOSE HOURS DURING TRADING; SALE OF INSURANCE TO CLIENTS WHEN NEEDED. THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC; INVESTMENT RELATED; WEST PALM BEACH, FL; RIA; ACTIVITY BEGAN IN 2018; I DEVOTE APPX 120 HOURS PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; INVESTMENT MANAGEMENT, FINANCIAL PLANNING, RETIREMENT PLANNING, MANAGING CLIENT RELATIONSHIPS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Radoccia'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®

None

Experience

Current

July 16, 2018 - Present

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC

Office #1: 1220 Pontiac Ave Suite 301, Cranston, RI 02920

RIA

CRD#: 295193

Cranston, RI

Current

October 21, 2020 - Present

AUSDAL FINANCIAL PARTNERS, INC.

Office #1: 1220 Pontiac Avenue, Suite 301, Cranston, RI 02920

RIA

CRD#: 7995

Cranston, RI

Past

June 20, 2001 - December 31, 2018

THE CAPITAL GROUP

RIA

CRD#: 129615

CRANSTON, RI

Past

October 16, 2000 - December 31, 2020

THE CAPITAL GROUP SECURITIES, INC.

CRD#: 104052

CRANSTON, RI

Past

March 20, 1995 - November 9, 2000

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

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".

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC

CRD#: 295193 / SEC#: 801-113587

RIA

Registered Investment Advisory firm - (7/9/2018 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.

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

Florida
(11/17/2020)

IAR

Florida
(12/3/2021)

Massachusetts
(11/17/2020)

New Hampshire
(2/11/2021)

New Jersey
(1/13/2021)

New York
(1/13/2021)

IAR

Rhode Island
(7/16/2018)

Rhode Island
(10/21/2020)

South Carolina
(1/12/2021)

Vermont
(1/15/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/8/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/10/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC

CRD#: 295193 / SEC#: 801-113587

RIA

Registered Investment Advisory firm - (7/9/2018 Approved)

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Contact information

Main Address

West Palm Beach, FL

Mailing Address

Phone number

(401) 519-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC - PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	697
AUM (Assets Under Management)	$ 206,685,192

Red Flags

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

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Robert J. Radoccia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Radoccia's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUSDAL FINANCIAL PARTNERS, INC.

THE CAPITAL GROUP

THE CAPITAL GROUP SECURITIES, INC.

INVESTACORP, INC.

Primary Firm SEC Registration

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/1995

Series 63

Date: 4/10/1995

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1995

Series 53

Date: 2/8/2002

Series 24

Date: 5/10/1996

FINRA

Current Firm

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

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