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RR

Robert J. Radoccia

THE CAPITAL GROUP FIDUCIARY ADVISORS
Cranston, RI 02920
Some features on this profile are disabled
CRD#: 2591278
RR

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.
The advisor shows no other business activity.

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
BD
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.

BD
CRD#: 104052
CRANSTON, RI
Past

March 20, 1995 - November 9, 2000

INVESTACORP, INC.

BD
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".
TC
THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC
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.
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
Florida
(11/17/2020)
IAR
Florida
(12/3/2021)
RR
Massachusetts
(11/17/2020)
RR
New Hampshire
(2/11/2021)
RR
New Jersey
(1/13/2021)
RR
New York
(1/13/2021)
IAR
Rhode Island
(7/16/2018)
RR
Rhode Island
(10/21/2020)
RR
South Carolina
(1/12/2021)
RR
Vermont
(1/15/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/9/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/8/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC
THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC

CRD#: 295193 / SEC#: 801-113587

RIA
Registered Investment Advisory firm - (7/9/2018 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
West Palm Beach, FL
Mailing Address
Phone number
(401) 519-9000
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC - PART 2A (3/19/2026)

Regulatory assets under management

Total Number of Accounts722
AUM (Assets Under Management)$ 191,481,487

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.

Company Information

THE CAPITAL GROUP FIDUCIARY ADVISORS, LLC

CRD#: 295193Cranston, RI 02920

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