Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Christopher Zocco is a registered investment advisor representative with UBS Financial Services Inc. Dennis has been in the securities industry for over 28 years, with experience at both Piper Jaffray & Co. and UBS Financial Services Inc. Dennis has a wide range of certifications including Series 7, Series 63, and Series 65. Dennis is registered in several states, including Washington, Texas, and Kansas. Dennis is also involved in charitable organizations, including the YMCA of Pierce and Kitsap County.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
WA
08/12/2006 - Present
UBS Financial Services Inc. (TACOMA WA)
WA
02/10/1995 - 08/12/2006
PIPER JAFFRAY & CO. (TACOMA WA)
IA
Issued 02/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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