RC
Rachael Ciocca
WARNER WEALTH
Shelton, CT 06484
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CRD#: 7122170
RC
Professional summary
Rachael Ciocca is a registered financial advisor currently at WARNER WEALTH located in Shelton, Connecticut and LPL FINANCIAL LLC located in Shelton, Connecticut.
Rachael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Rachael has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
1) 11/15/2022 - Warner Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - Start date: 06/03/2019. 2) 11/15/2022 - Notary - Investment related - Shelton, CT 06484 - Start date: 04/01/2021. 3)04/28/2025 - Warner Wealth - Investment related - Registered Investment Advisor Hybrid - At reported business location(s) - Start Date : 04/03/2025 - 160 Hrs/Mth - 130 Hrs During Trading.I provide investment advisory services through Warner Wealth, an independent investment advisor firm. I started this business activity in 04/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Rachael Ciocca's 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®
NoneExperience
Current
April 3, 2025 - Present
WARNER WEALTH
Office #1: 1 Enterprise Drive Suite 105, Shelton, CT 06484RIA
CRD#: 334877
Shelton, CT
Current
July 11, 2023 - Present
LPL FINANCIAL LLC
Office #1: One Enterprise Drive Suite 105, Shelton, CT 06484RIA
BD
CRD#: 6413
Shelton, CT
Past
March 21, 2025 - April 3, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
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".
WW
WARNER WEALTH
WARNER GROUP LLC | WARNER WEALTH
CRD#: 334877 / SEC#: 801-132255
RIA
Registered Investment Advisory firm - (4/1/2025 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.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
Connecticut(3/21/2025)
IAR
Connecticut(4/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/11/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WARNER WEALTH
WARNER GROUP LLC | WARNER WEALTH
CRD#: 334877 / SEC#: 801-132255
RIA
Registered Investment Advisory firm - (4/1/2025 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
869 Boston Post Road, Madison, CT 06443
Mailing Address
Phone number
(203) 929-2727
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,111 |
| AUM (Assets Under Management) | $ 362,848,230 |
Red Flags
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Company Information
WARNER WEALTH
CRD#: 334877Shelton, CT 06484TRUST BUT VERIFY
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