Joseph A. Larocca
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.
Joseph Anthony Larocca was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1979. Joseph had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1998 - March 24, 2014
SICOR SECURITIES INC
January 21, 1998 - November 18, 2013
SICOR SECURITIES INC
August 3, 1993 - December 18, 1997
OSAIC FS, INC.
June 15, 1988 - August 6, 1993
NEW ENGLAND SECURITIES
September 23, 1985 - June 3, 1988
NORTH AMERICAN INVESTMENT CORP.
March 27, 1984 - September 25, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
December 28, 1981 - June 24, 1982
LINCOLN NATIONAL PENSION INSURANCE COMPANY
March 28, 1979 - June 24, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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: 3/23/1979
Registered Representative ExaminationCurrent Firm
SICOR SECURITIES INC
CRD#: 16195 / SEC#: 801-31673, 8-33445
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Red Flags
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