Rocco Roveccio
Professional summary
Rocco Roveccio was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rocco is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Rocco had worked at 14 firms, which includes FIRST STANDARD FINANCIAL COMPANY LLC, ALEXANDER CAPITAL L.P., BROOKSTONE SECURITIES INC., MERCER CAPITAL LTD., J.P. TURNER & COMPANY L.L.C., GUNNALLEN FINANCIAL INC, JOSEPH STEVENS & CO. INC., SYNERGY INVESTMENT GROUP LLC, CYBERVEST SECURITIES INC., STONE HARBOR FINANCIAL SERVICES LLC, CANTONE RESEARCH INC., LCP CAPITAL CORP., TAGLICH BROTHERS INC., NORTHEAST SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2014 - January 28, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
June 22, 2012 - October 20, 2014
ALEXANDER CAPITAL, L.P.
November 10, 2009 - June 20, 2012
BROOKSTONE SECURITIES, INC.
October 15, 2008 - November 12, 2009
MERCER CAPITAL LTD.
August 1, 2006 - September 30, 2008
J.P. TURNER & COMPANY, L.L.C.
August 22, 2005 - August 1, 2006
GUNNALLEN FINANCIAL, INC
June 7, 2002 - September 2, 2005
JOSEPH STEVENS & CO., INC.
February 6, 2002 - March 15, 2002
SYNERGY INVESTMENT GROUP, LLC
December 4, 2001 - February 5, 2002
CYBERVEST SECURITIES INC.
June 27, 2001 - December 13, 2001
STONE HARBOR FINANCIAL SERVICES, LLC
January 17, 2001 - April 18, 2001
CANTONE RESEARCH INC.
February 7, 1999 - May 11, 2001
LCP CAPITAL CORP.
August 27, 1997 - December 9, 1998
J.P. TURNER & COMPANY, L.L.C.
March 3, 1997 - June 6, 1997
TAGLICH BROTHERS, INC.
December 18, 1996 - March 19, 1997
NORTHEAST SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST STANDARD FINANCIAL COMPANY LLC
CRD#: 168340 / SEC#: , 8-69300
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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