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LC

Louis J. Ciocco

VARIABLE INVESTMENT ASSOCIATES
Tea, SD 57064
Some features on this profile are disabled
CRD#: 4792084
LC

Professional summary

Louis James Ciocco is a registered financial professional currently at VARIABLE INVESTMENT ASSOCIATES, INC. located in Tea, South Dakota.

Louis is registered as a RR (Registered Representative) and started their career in finance in 2004. Louis has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Louis James Ciocco'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

November 11, 2010 - Present

VARIABLE INVESTMENT ASSOCIATES, INC.

Office #1: 750 E. 1st Street, Tea, SD 57064
BD
CRD#: 44412
Tea, SD
Past

November 24, 2009 - November 11, 2010

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
GRAND JUNCTION, CO
Past

October 31, 2008 - November 27, 2009

OSAIC SERVICES, INC.

BD
CRD#: 133763
GRAND JUNCTION, CO
Past

August 6, 2004 - October 31, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
GRAND JUNCTION, CO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/17/2023)
RR
Colorado
(11/11/2010)
RR
Florida
(2/7/2020)
RR
Georgia
(8/19/2011)
RR
Montana
(6/5/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/5/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VARIABLE INVESTMENT ASSOCIATES, INC.
VARIABLE INVESTMENT ADVISORS, INC. | VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412 / SEC#: , 8-50699

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
750 E. 1st Street, Tea, SD 57064
Mailing Address
750 E. 1st Street, Tea, SD 57064
Phone number
(605) 361-8230
Established
South Dakota since 10/03/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WILSON, GREGORY STEVENPRESIDENT / CEO / CCO / COO/1272680
FONDER, TERRY JOSEPHFINOP5561085
WILSON, KYLE WAGNERASSISTANT CEO5212895

Disclosures

Regulatory Event1

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.

Company Information

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412Tea, SD 57064

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