Stephen J. Lococo

FOOTPRINTS ASSET MANAGEMENT & RESEARCH

OMAHA, NE 68154

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CRD#: 707656

Professional summary

Stephen Joseph Lococo is a registered financial advisor currently at FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC. located in Omaha, Nebraska.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Stephen has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

OWNER OF MIDTOWN BODY AND PAINT SHOP SINCE 1982, LOCATED AT 1920 L STREET, LINCOLN, NE 68510. NOT INVESTMENT RELATED, 10 HRS/YEAR. OWNER AND ADVISOR OF FOOTPRINTS ASSET MANAGEMENT, AN INVESTMENT ADVISORY FIRM AT 11422 MIRACLE HILLS DR. SUITE 208 OMAHA, NE. INVESTMENT RELATED; FULL TIME. ON THE BOARD OF DIRECTORS OF WEGENER CORP SINCE 2007. A PUBLIC COMPANY LOCATED AT 11350 TECHNOLOGY CIRCLE, JOHNS CREEK, GA 30097, SPECIALIZING IN THE DESIGN AND MANUFACTURING OF SATELLITE COMMUNICATION EQUIPMENT. ABOUT 25 HOURS/YEAR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Lococo'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

January 28, 2004 - Present

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

Office #1: 11422 Miracle Hills Drive, Ste. 208, Omaha, NE 68154

RIA

CRD#: 128040

OMAHA, NE

Past

June 13, 2003 - December 31, 2016

GVC CAPITAL LLC

CRD#: 38923

OMAHA, NE

Past

October 2, 2002 - June 13, 2003

SMITH HAYES ADVISERS INC

RIA

CRD#: 110776

OMAHA, NE

Past

June 7, 2002 - June 11, 2003

SMITH HAYES FINANCIAL SERVICES CORPORATION

CRD#: 17059

LINCOLN, NE

Past

November 5, 1990 - May 31, 2002

KFS BD, INC.

CRD#: 490

OMAHA, NE

Past

April 25, 1980 - December 19, 1983

FIRST MID-AMERICA INC.

CRD#: 306

Past

April 25, 1980 - October 16, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC. | LOCOCO ASSET MANAGEMENT

CRD#: 128040 / SEC#: 801-62315

RIA

Registered Investment Advisory firm - (9/24/2003 Approved)

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

Iowa
(3/9/2004)

IAR

Nebraska
(2/26/2004)

IAR

Texas
(1/28/2004)

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: 3/8/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/3/1995

General Securities Principal Examination

Current Firm

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC. | LOCOCO ASSET MANAGEMENT

CRD#: 128040 / SEC#: 801-62315

RIA

Registered Investment Advisory firm - (9/24/2003 Approved)

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Contact information

Main Address

Omaha, NE

Mailing Address

663 North 132nd Ave., Omana, NE 68154

Phone number

(402) 445-9333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAMR DISCLOSURE BROCHUR4 (8/15/2025)

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 41,096,431

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Stephen J. Lococo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Lococo's CRS (Customer Relationship Summary).

Certified licenses

Experience

GVC CAPITAL LLC

SMITH HAYES ADVISERS INC

SMITH HAYES FINANCIAL SERVICES CORPORATION

KFS BD, INC.

FIRST MID-AMERICA INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2004

Series 63

Date: 5/15/1980

SIE

Date: 12/31/2016

Series 7

Date: 4/19/1980

Series 24

Date: 4/3/1995

Current Firm

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

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