Donald J. Lococo
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.
Donald John Lococo, who also goes by Don Lococo, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 7 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1997 - October 15, 2004
WFG INVESTMENTS, INC.
April 13, 1995 - October 3, 1997
UBS FINANCIAL SERVICES INC.
December 5, 1989 - April 7, 1995
PRUDENTIAL EQUITY GROUP, LLC
August 22, 1988 - November 27, 1989
HANIFEN, IMHOFF SECURITIES CORP.
November 13, 1987 - October 18, 1988
HANIFEN, IMHOFF INC.
March 17, 1976 - November 27, 1987
E. F. HUTTON & COMPANY INC
August 1, 1969 - December 25, 1975
BACHE & CO INCORPORATED
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 7/28/1969
Registered Representative ExaminationSeries 8
Date: 2/23/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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