Joseph M. Cocimano
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 Michael Cocimano was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1980. Joseph had worked at 11 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2009 - March 12, 2010
CAPITOL SECURITIES MANAGEMENT, INC.
May 29, 2009 - March 12, 2010
CAPITOL SECURITIES MANAGEMENT, INC.
March 14, 2006 - June 5, 2009
AEGIS CAPITAL CORP.
March 14, 2006 - June 5, 2009
AEGIS CAPITAL CORP.
February 16, 2005 - March 7, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
February 15, 2005 - March 7, 2006
IDS LIFE INSURANCE COMPANY
February 15, 2005 - March 7, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 2003 - March 2, 2005
AEGIS CAPITAL CORP.
June 18, 1998 - February 26, 2003
VOSS & CO., INC.
September 25, 1996 - August 20, 1998
FIRST UNION CAPITAL MARKETS CORP.
May 4, 1993 - September 11, 1996
HALPERT AND COMPANY, INC.
October 20, 1987 - October 9, 1992
CITIZENS BROKERAGE SERVICES, INC.
May 3, 1985 - September 28, 1987
AMERIPRISE ADVISOR SERVICES, INC.
August 2, 1983 - June 20, 1984
AMERIPRISE ADVISOR SERVICES, INC.
March 2, 1981 - November 16, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 1980 - March 6, 1981
LAIDLAW, MARTIN & MOYSEY, INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
