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THOMAS ANTHONY ROCCO III
CRD#: 4007334
IA
Investment Adviser
B
Broker
INVESCO ADVISERS, INC.CRD#: 105360 Weston, MA
INVESCO DISTRIBUTORS, INC.CRD#: 7369 WESTON, MA
Registration History
200420062008201020122014201620182020202220242026IAINVESCO ADVISERS, INC. (CRD# 105360)2010 - Present (15 years)BINVESCO DISTRIBUTORS, INC. (CRD# 7369)2007 - Present (17 years)BING FUNDS DISTRIBUTOR, LLC (CRD# 37886)2005 - 2007 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2005 (<1 year)IAINVESCO AIM PRIVATE ASSET MANA... (CRD# 109264)2007 - 2010 (2 years)
License(s)

State Registrations

B
Florida 7/6/2022

B
New Hampshire 7/31/2014

B
Massachusetts 6/18/2008

B
Pennsylvania 12/22/2020

IA
Massachusetts 11/23/2010

B
Rhode Island 6/18/2008

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
INVESCO ADVISERS, INC. (CRD#:105360)
Weston, MA
Registered with this firm since 1/1/2010

B
INVESCO DISTRIBUTORS, INC. (CRD#:7369)
WESTON, MA
Registered with this firm since 9/25/2007

Previous Registration(s)
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IA
09/25/2007 - 01/01/2010 INVESCO AIM PRIVATE ASSET MANAGEMENT, INC. (CRD#:109264) HOUSTON, TX
B
06/01/2005 - 09/06/2007 ING FUNDS DISTRIBUTOR, LLC (CRD#:37886) WINDSOR, CT
B
08/30/2004 - 05/09/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.