Ciro Bocchetti
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.
Ciro Bocchetti was a registered financial professional .
Ciro is a previously registered financial professional and started their career in finance in 1998. Ciro had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2001 - January 24, 2002
HARRISON SECURITIES, INC.
October 30, 2001 - November 8, 2001
GREAT EASTERN SECURITIES, INC.
October 22, 2001 - November 27, 2001
EHRENKRANTZ KING NUSSBAUM
May 22, 2001 - October 22, 2001
WEATHERLY SECURITIES CORPORATION
February 7, 2001 - May 29, 2001
JOSEPH STEVENS & CO., INC.
January 29, 2001 - February 5, 2001
U.S. SECURITIES & FUTURES CORP.
November 9, 2000 - January 22, 2001
NATIONAL SECURITIES CORPORATION
April 13, 2000 - November 10, 2000
SHARPE CAPITAL, INC.
January 1, 1998 - March 30, 2000
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
HARRISON SECURITIES, INC.
CRD#: 14103 / SEC#: , 8-30546
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
