Individual Firm
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David A Radoccia
CRD#: 1442962
IA
B
WORLD INVESTMENT ADVISORS, LLCCRD#: 208512 475 Kilvert Street
Suite 350
Warwick, RI 02886
Suite 350
Warwick, RI 02886
PENSIONMARK SECURITIES, LLCCRD#: 283952 475 Kilvert Street
Suite 350
Warwick, RI 02886
Suite 350
Warwick, RI 02886
0
Disclosures
39
Years of Experience
View By:
State Registrations
B
California 12/11/2018
B
New York 1/5/2021
B
Connecticut 9/30/2024
B
Oregon 12/11/2018
B
Florida 12/11/2018
IA
Rhode Island 5/2/2017
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Massachusetts 6/6/2017
B
Rhode Island 12/12/2018
B
Massachusetts 12/12/2018
B
Texas 11/16/2022
B
New Hampshire 4/3/2023
SRO Registrations
B
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IA
Registered with this firm since 5/2/2017
B
Registered with this firm since 12/11/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/27/2018 - 03/29/2022 | PROVIDENCE, RI | |
B | 05/14/1999 - 12/12/2018 | PROVIDENCE, RI | |
B | 06/22/1998 - 05/03/1999 | FORT WAYNE, IN | |
B | 08/05/1997 - 07/07/1998 | FORT MILL, SC | |
B | 01/14/1986 - 08/05/1997 | WELLESLEY HILLS, MA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.