Steven S. Bocchino
Professional summary
Steven Silvio Bocchino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Steven had worked at 12 firms, which includes WOODSTOCK FINANCIAL GROUP INC., GLENN MICHAEL FINANCIAL INC., BELL INVESTMENT GROUP INC., STARR SECURITIES INC., SEABOARD SECURITIES INC., MORGAN TAYLOR & ASSOCIATES INC., M.A. GILLESPIE INVESTMENT CORP., CASTLE SECURITIES CORP., INVESTORS ASSOCIATES INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, LT LAWRENCE & CO. INC., EURO-ATLANTIC SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2000 - November 30, 2000
WOODSTOCK FINANCIAL GROUP, INC.
July 13, 2000 - October 26, 2000
GLENN MICHAEL FINANCIAL, INC.
April 10, 2000 - June 19, 2000
BELL INVESTMENT GROUP, INC.
July 30, 1999 - March 24, 2000
STARR SECURITIES, INC.
February 11, 1999 - May 27, 1999
SEABOARD SECURITIES, INC.
May 21, 1998 - August 13, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
August 23, 1997 - January 1, 1998
M.A. GILLESPIE INVESTMENT CORP.
June 27, 1997 - August 12, 1997
CASTLE SECURITIES CORP.
January 22, 1997 - May 8, 1997
INVESTORS ASSOCIATES, INC.
June 17, 1996 - February 7, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
January 22, 1996 - June 13, 1996
LT LAWRENCE & CO., INC.
January 1, 1996 - January 26, 1996
EURO-ATLANTIC SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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