Peter R. Cocciardi
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.
Peter Ronald Cocciardi, who also goes by Peter R Coccairdi, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1980. Peter had worked at 9 firms and has passed the Series 63, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2007 - December 31, 2015
CANTELLA & CO., INC.
June 2, 2003 - December 31, 2004
CANTELLA & CO., INC.
August 18, 1995 - July 24, 2007
FINANCIAL MASTERS INC.
January 5, 1995 - December 31, 2015
CANTELLA & CO., INC.
March 16, 1993 - December 30, 1994
G.R. STUART & COMPANY, INC.
August 29, 1990 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
December 16, 1989 - July 30, 1990
LPL FINANCIAL LLC
April 19, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
July 24, 1986 - April 4, 1989
FINANCIAL CONSULTANTS, INC.
November 1, 1983 - July 16, 1986
CITATION SECURITIES, INC.
August 13, 1981 - December 28, 1983
FINANCIAL CONSULTANTS, INC.
October 17, 1980 - July 29, 1981
CARDELL & ASSOCIATES, INCORPORATED
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 1
Date: 10/4/1980
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
