Joseph D. Dirocco
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.
Joseph David Dirocco was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2002. Joseph had worked at 5 firms and has passed the Series 63, Series 66, 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
May 16, 2016 - June 1, 2017
CITIZENS CAPITAL MARKETS
April 21, 2014 - May 16, 2016
CITIZENS SECURITIES, INC.
November 1, 2010 - April 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 2007 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
March 11, 2002 - January 30, 2003
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CITIZENS CAPITAL MARKETS
CRD#: 277073 / SEC#: , 8-69651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIZENS FINANCIAL GROUP, INC. | SHAREHOLDER | |
| HORN, WILLIAM CANNIFF III | POO | 2234778 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| KOSINSKI, THOMAS JAMES | FINOP, PFO | 6712417 |
| MCCREE, DONALD H III | CHAIRMAN | 2316064 |
| MCLAUGHLIN, BRENDAN M. | CHIEF COMPLIANCE OFFICER | 2562815 |
| SWIMMER, THEODORE C | CHIEF EXECUTIVE OFFICER | 2661662 |
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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