Gonzalo M. Mocorrea
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.
Gonzalo Manuel Mocorrea was a registered financial professional .
Gonzalo is a previously registered financial professional and started their career in finance in 1999. Gonzalo had worked at 5 firms and has passed the Series 63, SIE 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
February 11, 2013 - January 29, 2018
ACADEMY SECURITIES, INC.
October 3, 2012 - January 2, 2013
CELADON FINANCIAL GROUP LLC
March 1, 2010 - November 17, 2010
NORTHEAST SECURITIES, LLC
October 14, 2008 - March 2, 2010
INTERNATIONAL ASSETS ADVISORY, LLC
May 14, 1999 - December 10, 2008
HERMITAGE CAPITAL CORPORATION
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
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (41 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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