Individual Firm
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ADAM J LOCASCIO
ADAM JAMES LOCASCIO
CRD#: 4606396
IA
B
W&S BROKERAGE SERVICES, INC.CRD#: 8099 3903 Northdale Blvd
Suite 290-E
TAMPA, FL 33624
Suite 290-E
TAMPA, FL 33624
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4/5/1996
Criminal
Final Disposition
State Registrations
B
Alabama 3/6/2024
B
North Carolina 12/2/2024
B
Florida 9/1/2023
IA
North Carolina 12/3/2024
IA
Florida 9/1/2023
B
Utah 12/6/2024
B
Georgia 9/18/2023
B
Washington 3/5/2024
IA
Georgia 9/18/2023
SRO Registrations
B
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IA
Registered with this firm since 9/1/2023
B
Registered with this firm since 8/31/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/07/2018 - 08/14/2023 | TAMPA, FL | |
B | 09/06/2018 - 08/14/2023 | TAMPA, FL | |
IA | 01/20/2015 - 09/12/2018 | TAMPA, FL | |
B | 01/15/2015 - 09/12/2018 | TAMPA, FL | |
IA | 10/19/2007 - 09/15/2014 | TAMPA, FL | |
B | 03/01/2005 - 09/15/2014 | HOUSTON, TX | |
B | 06/11/2003 - 02/28/2005 | BALTIMORE, MD |
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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.