Guy E. Cocalis
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.
Guy Edward Cocalis was a registered financial advisor .
Guy is a previously registered financial advisor and started their career in finance in 1978. Guy had worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2007 - November 1, 2007
DIVINE CAPITAL MARKETS LLC
February 2, 2005 - August 4, 2005
SCOTT & STRINGFELLOW, LLC
January 10, 2005 - August 4, 2005
SCOTT & STRINGFELLOW, LLC
February 12, 2004 - August 9, 2004
WESTMINSTER SECURITIES CORPORATION
May 30, 2003 - February 9, 2004
BANIF SECURITIES INC
October 4, 2002 - June 2, 2003
COCALIS, GUY EDWARD
October 1, 2000 - May 31, 2002
SIG BROKERAGE, LP
August 9, 1983 - November 19, 1984
TUCKER ANTHONY INCORPORATED
August 2, 1983 - August 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1978 - November 22, 1982
BRUNS, NORDEMAN, REA & CO.
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
Current Firm
DIVINE CAPITAL MARKETS LLC
CRD#: 118212 / SEC#: , 8-53650
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
