Leonard J. Marzocco
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.
Leonard Joseph Marzocco, who also goes by Len Marzocco Jr, Lenny Marzocco Jr, Leonard Joseph Marzocco III, Leonard Joseph Marzocco Jr, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1998. Leonard had worked at 8 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
June 21, 2019 - December 10, 2019
WOODSTOCK FINANCIAL GROUP, INC.
June 20, 2017 - July 16, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
January 30, 2017 - July 19, 2017
SPARTAN CAPITAL SECURITIES, LLC
October 23, 2015 - March 2, 2017
FIRST STANDARD FINANCIAL COMPANY LLC
September 10, 2014 - October 16, 2015
ROCKWELL GLOBAL CAPITAL LLC
April 23, 2002 - February 23, 2004
EKN FINANCIAL SERVICES INC.
June 22, 2000 - April 18, 2002
LADENBURG CAPITAL MANAGEMENT INC.
January 7, 1999 - June 23, 2000
INSTITUTIONAL EQUITY CORPORATION
September 15, 1998 - January 6, 1999
WIN CAPITAL CORP.
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
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 |
Red Flags
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