Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dicocco is a financial advisor with over 30 years of experience in the industry. James currently works for LPL Financial LLC in Los Angeles, California. Previously, James worked for Ameriprise Financial Services, LLC, Ameriprise Advisor Services, Inc., UBS Financial Services Inc., Morgan Stanley DW Inc., M.L. Stern & Co. Inc. and Baraban Securities, Inc. James holds FINRA Series 7, Series 63, and Series 65 licenses. James's areas of expertise include financial planning, portfolio management, and consulting. James has a passion for helping clients achieve their financial goals and is committed to providing personalized advice and exceptional service.
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.
Consulting and other non-discretionary advisory services
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.
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CA
03/11/2021 - Present
LPL Financial LLC (LOS ANGELES CA)
CA
10/05/2009 - 03/12/2021
AMERIPRISE FINANCIAL SERVICES, LLC (Los Angeles CA)
CA
02/20/2009 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (CENTURY CITY CA)
CA
11/02/2001 - 03/03/2009
UBS FINANCIAL SERVICES INC. (BEVERLY HILLS CA)
NY
03/03/1997 - 11/07/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
03/11/1991 - 03/04/1997
M.L. STERN & CO. INC. (BEVERLY HILLS CA)
CA
02/14/1991 - 03/18/1991
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 05/19/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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