Dennis G. Ciocca
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.
Dennis Guy Ciocca was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1978. Dennis had worked at 9 firms and has passed the Series 63, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2010 - January 2, 2014
STERN BROTHERS & CO.
June 14, 2007 - August 5, 2009
GARDNER RICH, L.L.C.
February 23, 1995 - July 1, 2010
SUTTER SECURITIES INCORPORATED
April 21, 1993 - March 1, 1995
PERSHING LLC
March 8, 1991 - February 19, 1993
ALTURA, NELSON & CO., INCORPORATED
September 4, 1990 - November 13, 1990
WELLS FARGO CLEARING SERVICES, LLC
February 4, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 12, 1979 - May 5, 1988
E. F. HUTTON & COMPANY INC
June 1, 1978 - May 25, 1979
BLYTH EASTMAN DILLON & CO. 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 40
Date: 6/3/1978
Registered Principal ExaminationCurrent Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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