Samuel G. Morocco
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.
Samuel Gasper Morocco, who also goes by Sam Morocco, was a registered financial advisor .
Samuel is a previously registered financial advisor and started their career in finance in 1978. Samuel had worked at 14 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2006 - December 4, 2006
PRIMESOLUTIONS SECURITIES, INC.
May 23, 2005 - December 4, 2006
PRIMESOLUTIONS SECURITIES, INC.
June 16, 2003 - May 4, 2005
NATIONAL PLANNING CORPORATION
June 11, 2003 - May 4, 2005
NATIONAL PLANNING CORPORATION
October 5, 2000 - June 20, 2003
WALNUT STREET ADVISERS INC
August 15, 2000 - June 20, 2003
WALNUT STREET SECURITIES, INC.
March 11, 1998 - August 10, 2000
PRIM SECURITIES, INCORPORATED
February 10, 1998 - March 4, 1998
PRIM SECURITIES, INCORPORATED
November 15, 1996 - February 23, 1998
FIFTH THIRD SECURITIES, INC.
November 20, 1989 - November 25, 1996
GUARDIAN INVESTOR SERVICES LLC
November 29, 1988 - November 18, 1989
CADARET, GRANT & CO., INC.
May 12, 1988 - November 22, 1988
FOCUS SECURITIES, INC.
January 9, 1986 - August 4, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 29, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 29, 1985 - February 21, 1990
OSAIC FA, INC.
May 29, 1985 - January 2, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 11, 1978 - June 12, 1985
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 11, 1978 - June 12, 1985
SIGNATOR INVESTORS, INC.
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: 5/6/1978
Registered Representative ExaminationCurrent Firm
PRIMESOLUTIONS SECURITIES, INC.
CRD#: 46017 / SEC#: , 8-51286
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 6 |
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.
