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Detailed Report
Andrew Scott Cocchia
ANDY SCOTT COCCHIA
CRD#: 4742726
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 2423 E Lincoln Drive
Phoenix, AZ 85016
CHARLES SCHWAB & CO., INC.CRD#: 5393 2423 E Lincoln Dr
Phoenix, AZ 85016-1215
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2022 - Present (3 years)BVANGUARD MARKETING CORPORATION (CRD# 7452)2004 - 2022 (17 years)IAVANGUARD ADVISERS, INC. (CRD# 106715)2016 - 2022 (5 years)
License(s)

State Registrations

B
Arizona 1/26/2022
B
Montana 7/26/2024
IA
Arizona 2/3/2022
B
Nevada 3/11/2022
B
California 1/26/2022
B
New Jersey 3/11/2022
B
Colorado 3/11/2022
B
New York 3/11/2022
B
Florida 3/11/2022
B
North Carolina 3/11/2022
B
Georgia 3/11/2022
B
Ohio 3/11/2022
B
Idaho 3/11/2022
B
Oregon 3/11/2022
B
Illinois 3/11/2022
B
Pennsylvania 3/11/2022
B
Kentucky 3/11/2022
B
Tennessee 3/11/2022
B
Maine 9/19/2024
B
Texas 3/11/2022
B
Maryland 9/4/2024
B
Utah 3/11/2022
B
Massachusetts 3/11/2022
B
Virginia 3/11/2022
B
Minnesota 3/11/2022
B
Washington 3/11/2022
B
Missouri 3/11/2022
B
Wyoming 3/11/2022

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
2423 E Lincoln Drive, Phoenix, AZ 85016
Registered with this firm since 2/3/2022
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
2423 E Lincoln Dr, Phoenix, AZ 85016-1215
Registered with this firm since 1/26/2022
Previous Registration(s)
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IA
 10/04/2016 - 01/10/2022 VANGUARD ADVISERS, INC. (CRD#:106715) SCOTTSDALE, AZ
B
 04/28/2004 - 01/10/2022 VANGUARD MARKETING CORPORATION (CRD#:7452) SCOTTSDALE, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.