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JM

John M. Marrocco

FMI CAPITAL ADVISORS
Denver, CO 80206-5827
Some features on this profile are disabled
CRD#: 7657279
JM

Professional summary


John Michael Marrocco Jr., who also goes by Johnny Michael Marrocco, Johnny Marrocco, is a registered financial professional currently at FMI CAPITAL ADVISORS, INC. located in Denver, Colorado.

John is registered as a RR (Registered Representative) and started their career in finance in 2023. John has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Johnny Michael Marrocco | Johnny Marrocco

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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view John Michael Marrocco Jr.'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®
None

Experience


Current

February 6, 2023 - Present

FMI CAPITAL ADVISORS, INC.

Office #1: 44 Cook St Ste 900, Denver, CO 80206-5827
BD
CRD#: 129262
Denver, CO

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(2/6/2023)
RR
Colorado
(2/6/2023)
RR
Florida
(2/6/2023)
RR
North Carolina
(2/6/2023)
RR
Texas
(2/6/2023)

Exams


State Security Law Exam
RR
Series 63
Date: 1/17/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/6/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


FC
FMI CAPITAL ADVISORS, INC.
FMI CAPITAL ADVISORS, INC.

CRD#: 129262 / SEC#: , 8-66206

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information


Main Address
44 Cook St Ste 900, Denver, CO 80206-5827
Mailing Address
44 Cook St Ste 900, Denver, CO 80206-5827
Phone number
(303) 377-4740
Established
Colorado since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
FMI CORPORATIONPARENT CO.
HUCKABY, TIMOTHY DONPRESIDENT4596179
THORNTON, STEVEN LEECCO / FINOP4496384

Disclosures


Regulatory Event2

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.

Company Information


FMI CAPITAL ADVISORS, INC.

CRD#: 129262Denver, CO 80206-5827

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