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ROCCO G MERCATANTE
ROCCO GIUSEPPE MERCATANTE, ROCKY MERCATANTE
CRD#: 5681264
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 170 BROAD ST
RED BANK, NJ 07701
RED BANK, NJ 07701
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
Connecticut 1/18/2012
IA
New Jersey 1/20/2012
IA
Connecticut 1/18/2012
B
New York 1/18/2012
B
Delaware 7/9/2013
B
Pennsylvania 1/18/2012
B
District of Columbia 7/7/2016
B
Rhode Island 1/18/2012
B
Florida 1/18/2012
B
South Carolina 10/29/2024
B
Maryland 7/7/2016
B
Texas 7/7/2016
B
Massachusetts 7/7/2016
IA
Texas 7/26/2016
B
New Hampshire 7/7/2016
B
Virginia 7/7/2016
B
New Jersey 1/18/2012
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/18/2012
B
Registered with this firm since 1/18/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/12/2010 - 12/20/2011 | WALL, NJ | |
B | 09/17/2009 - 12/20/2011 | WALL, NJ | |
B | 07/07/2009 - 08/19/2009 | ISELIN, NJ |
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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.