Ralph D. Chiocco

ELLIOTT COVE CAPITAL MANAGEMENT

Seattle, WA 98104

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CRD#: 3210599

Professional summary

Ralph Dominick Chiocco JR is a registered financial advisor currently at ELLIOTT COVE CAPITAL MANAGEMENT located in Seattle, Washington.

Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Ralph has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Dominick Chiocco JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 19, 2006 - Present

ELLIOTT COVE CAPITAL MANAGEMENT

Office #1: 1000 Second Avenue Suite 1440, Seattle, WA 98104

RIA

CRD#: 123636

Seattle, WA

Past

October 1, 1999 - November 12, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 9, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ELLIOTT COVE CAPITAL MANAGEMENT

ELLIOTT COVE CAPITAL MANAGEMENT | ELLIOTT COVE CAPITAL, L.L.C. | ELLIOTT COVE CAPITAL MANAGEMENT LLC

CRD#: 123636 / SEC#: 801-63436

RIA

Registered Investment Advisory firm - (8/23/2004 Approved)

Washington

Registered Investment Advisory firm - (11/22/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alaska
(6/19/2006)

IAR

Washington
(6/19/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/16/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/8/1999

General Securities Representative Examination

Current Firm

ELLIOTT COVE CAPITAL MANAGEMENT

ELLIOTT COVE CAPITAL MANAGEMENT | ELLIOTT COVE CAPITAL, L.L.C. | ELLIOTT COVE CAPITAL MANAGEMENT LLC

CRD#: 123636 / SEC#: 801-63436

RIA

Registered Investment Advisory firm - (8/23/2004 Approved)

Washington

Registered Investment Advisory firm - (11/22/2004 Terminated)

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Contact information

Main Address

1000 Second Avenue Suite 1440, Seattle, WA 98104

Mailing Address

Po Box 27710, Seattle, WA 98165

Phone number

(206) 267-2683

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ELLIOTT COVE CAPITAL MANAGEMENT LLC FORM ADV PART II BROCHURE (2/10/2025)

Regulatory assets under management

Total Number of Accounts	898
AUM (Assets Under Management)	$ 307,782,769

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.

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Ralph D. Chiocco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Dominick Chiocco JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELLIOTT COVE CAPITAL MANAGEMENT

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

ELLIOTT COVE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/2006

Series 63

Date: 8/10/1999

Series 7

Date: 7/8/1999

Current Firm

ELLIOTT COVE CAPITAL MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLIOTT COVE CAPITAL MANAGEMENT

TRUST BUT VERIFY

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