ROCCO TESORIERO

ROCCO TESORIERO is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 225 LIBERTY ST - 2 WORLD FINANCIAL CTR, NEW YORK, NY, 10281.

ROCCO TESORIERO has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since December 03, 2014

Disclosure History

ROCCO TESORIERO has 5 Disclosure Event(s).

Date: August 31, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: April 24, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: March 07, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 24, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: May 27, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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