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Philip James Cocce
PHILIP JAMES COCCE, Phil Cocce, Philip Cocce
CRD#: 6555620
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 7500 OLD GEORGETOWN RD
STE 1200
BETHESDA, MD 20814-6133
STE 1200
BETHESDA, MD 20814-6133
0
Disclosures
7
Years of Experience
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State Registrations
B
Connecticut 2/24/2022
B
Virginia 4/9/2024
B
Ohio 4/6/2022
IA
Virginia 4/9/2024
B
Pennsylvania 2/24/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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B
Registered with this firm since 5/3/2021
IA
Registered with this firm since 4/29/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/11/2018 - 01/09/2020 | WALTHAM, MA | |
B | 10/09/2018 - 01/09/2020 | WALTHAM, MA | |
B | 10/24/2017 - 09/26/2018 | VIENNA, VA | |
B | 11/23/2015 - 09/27/2017 | NEEDHAM, 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.