David Radoccia is a CFP, ChFC-designated registered investment advisor, based in Warwick, RI, with 40 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold.
Location
475 Kilvert Street, Suite 350, Warwick, RI, 02886
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
David is involved in several business activities. He works full-time at Meridien Benefits Inc. selling investment and insurance products, and spends minimal time on property & casualty sales, tax-related activities, and non-variable insurance and annuity sales.
Employment History
Current Registrations
World Investments, LLCBroker
World Investment Advisors, LLC
Previous Registrations
Meridien Financial Group, INC.Broker
Pensionmark Securities, LLCBroker
Meridien Financial Group, INC.Broker
Jefferson Pilot Securities CorporationBroker
Linsco/private Ledger CORP.Broker
Sun Investment Services CompanyBroker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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