Rocco A. Mongelli
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 Anthony Mongelli was a registered financial professional .
Rocco is a previously registered financial professional and started their career in finance in 1997. Rocco had worked at 14 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2011 - August 25, 2011
SYNERGY INVESTMENT GROUP, LLC
November 13, 2009 - March 2, 2011
J.H. DARBIE & CO., INC.
July 27, 2007 - December 19, 2009
PEAK SECURITIES CORPORATION
March 5, 2004 - August 29, 2007
FRANKLIN ROSS, INC.
January 1, 2002 - December 15, 2003
VFINANCE INVESTMENTS, INC
October 29, 2001 - January 1, 2002
FIRST COLONIAL SECURITIES
August 21, 2001 - November 20, 2001
GLENN MICHAEL FINANCIAL, INC.
August 4, 2000 - May 10, 2001
AVALON PARTNERS, INC.
February 9, 2000 - September 13, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
October 12, 1999 - February 23, 2000
FIRST LIBERTY INVESTMENT GROUP, INC.
June 8, 1998 - December 22, 1999
PACIFIC CONTINENTAL SECURITIES CORPORATION
January 23, 1998 - June 26, 1998
THE CAMELOT GROUP, INC.
July 11, 1997 - February 25, 1998
DANALLEN INVESTMENT GROUP INC.
June 30, 1997 - July 22, 1997
MORGAN GRANT CAPITAL CORP.
March 13, 1997 - July 15, 1997
INVESTORS ASSOCIATES, INC.
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
Series 62
Date: 3/12/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
SYNERGY INVESTMENT GROUP, LLC
CRD#: 46035 / SEC#: 801-68315, 8-51278
Contact information
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
