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Joe Cucinotta: FINRA Suspends Independent Financial Advisor

Radnor, Pennsylvania financial advisor Joe Cucinotta (CRD# 3272604) was recently suspended in connection with allegations that he falsified customer signatures. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Independent Financial Advisors.

Mr. Cucinotta’s BrokerCheck report discloses the recent FINRA sanction against him. Filed in March 2024, it alleges that as a representative of Woodbury Financial Advisors, he “falsified customer signatures on applications for fixed annuities by electronically signing the customers’ names on the applications.” FINRA’s findings state further that while he had the customers’ consent to do so, he did not note on the applications that he was signing on their behalf. In connection with these findings, he was issued a fine of $5,000 and a one-month suspension from registering with any FINRA member firm in all capacities.

Independent Financial Advisors’ website includes a profile of Mr. Cucinotta that describes his background. “After 20 years in the financial services industry Joe still finds working closely with his local community highly rewarding,” it states. “Currently, Joe holds his Enrolled Agent certification in tax as well as a multitude of securities licenses including Series 7, Series 63, Series 65, Series 66, and Series 52 in addition to Life, Accident, and Health Insurance license.”

According to the Financial Industry Regulatory Authority, Joe Cucinotta holds 24 years of securities industry experience. Based in Radnor, Pennsylvania, he has been a broker and an investment advisor with Centaurus Financial since 2021. His past registrations include Woodbury Financial Services (Radnor, Pennsylvania; 2019-2021), Questar Capital Corporation (Philadelphia, Pennsylvania; 2016-2019), USAllianz Securities (Philadelphia, Pennsylvania; 2001-2006), and H&R Block Financial Advisors (Detroit, Michigan; 1999-2001). His credentials include the passage of six securities industry qualifying exams: the Municipal Securities Representative Examination, or Series 52; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, Delaware, Florida, Maryland, New Jersey, and Pennsylvania. (Information current as of March 24, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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