Arthur M. Troccoli

PTS BROKERAGE

Kendall Park, NJ

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CRD#: 6586574

Professional summary

Arthur M Troccoli Jr, who also goes by Art Troccoli Jr, Art Troccoli, Arthur Troccoli, is a registered financial advisor currently at PTS BROKERAGE, LLC located in Kendall Park, New Jersey.

Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Arthur has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Art Troccoli Jr | Art Troccoli | Arthur Troccoli

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.

ProCFO Partners POSITION: CFO / NATURE: Fractional CFO / INVESTMENT RELATED: No / HOURS/MONTH: 80-100 SECURITIES TRADING HOURS/MONTH: 60-80 / START DATE: 04/01/2024 ADDRESS: 295 Madison Avenue, 12th Fl, New York, NY 10017 DUTIES: Strategic CFO leadership

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur M Troccoli Jr's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Arthur M Troccoli 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

March 26, 2018 - Present

PTS BROKERAGE, LLC

RIA

CRD#: 119307

Kendall Park, NJ

Current

February 26, 2018 - Present

PTS BROKERAGE, LLC

Office #1: 125 Gaither Drive Suite C, Mount Laurel, NJ 08054

RIA

CRD#: 119307

Mount Laurel, NJ

Past

May 2, 2016 - August 24, 2016

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

MOUNT LAUREL, NJ

Past

January 28, 2016 - August 24, 2016

QUESTAR CAPITAL CORPORATION

CRD#: 43100

MOUNT LAUREL, NJ

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.

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

New Jersey
(2/26/2018)

IAR

New Jersey
(3/26/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/28/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PTS BROKERAGE, LLC

PROFESSIONAL TRADING SERVICES BROKERAGE, LLC | PTS BROKERAGE, LLC

CRD#: 119307 / SEC#: , 8-65173

Delaware

Registered Investment Advisory firm - SEC (2/22/2024 Approved)

Florida

Registered Investment Advisory firm - SEC (11/30/2011 Approved)

Maryland

Registered Investment Advisory firm - SEC (4/29/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/25/2004 Approved)

New York

Registered Investment Advisory firm - SEC (9/26/2011 Approved)

North Carolina

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (8/25/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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).

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Contact information

Main Address

125 Gaither Drive 125 C Gaither Dr, Mt. Laurel, NJ 08054

Mailing Address

125 Gaither Drive Suite C, Mount Laurel, NJ 08054-1706

Phone number

(856) 802-9400

Established

New Jersey since 10/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SCHANK, BRAD WILLIAM	MEMBER, COO	5747196
SCHANK, JEREMY JOHN	MEMBER, CFO, CCO	5702254

Regulatory assets under management

Total Number of Accounts	460
AUM (Assets Under Management)	$ 106,900,000

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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Firm Stability Insights

Arthur M. Troccoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur M Troccoli Jr's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Arthur M Troccoli Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

PTS BROKERAGE, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2016

SIE

Date: 10/1/2018

Series 7

Date: 1/28/2016

FINRA

Current Firm

PTS BROKERAGE, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

PTS BROKERAGE, LLC

TRUST BUT VERIFY

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