Cco Investment Services Corp. (Dedham)

Cco Investment Services Corp. is a large advisory firm based in Dedham. It manages $2.32 billion of regulatory assets for 17,681 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Connecticut, Delaware, Florida, and 10 other states.

Cco Investment Services Corp provides selection of other advisers and participate in wrap fee program. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cco Investment Services Corp: assets under management

The assets under management (AUM) of Cco Investment Services Corp. is $2.32 billion. The company doesn't manage any assets belonging to foreign clients.

Cco Investment Services Corp has custody of $2.32 billion in cash and securities for 17,681 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Cco Investment Services Corp. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Cco Investment Services Corp.

Mark J Formica has been acting as President since 1 Sep 1995. Diane Patricia Novak joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mark J Formica	Director	1 Sep 1995	Other	3116730
Bradford Burnett Kopp	Director	1 Sep 1995	Other	860833
Citizens Bank Of Rhode Island	Direct shareholder	1 Dec 1995	75% - 100%	05-0120600
Lawrence Andrew Carter	Senior vp / coo / cco	1 Oct 1998	Other	2113682
Stephen Douglas Steinour	Director	1 Jun 1999	Other	4027960
Robert M Mahoney	Director	1 Jun 1999	Other	2013610
Robert Maurice Mahoney	Chairman / director	1 Jun 1999	Other	2013610
Darlene Frances Maglio	Vp / compliance director	1 Jan 2001	Other	2407306
Barry Craig Toothaker	President	1 May 2001	Other	4323297
Robert T. Gormley	Director	1 Jun 2001	Other	xxx-xx-xxxx
Thomas James Hollister	Director	1 Jun 2001	Other	xxx-xx-xxxx
Kathleen Margaret Guilfoyle	Chief financial officer	1 Feb 2004	Other	4728634
Kevin Lindsey Fein	Chief compliance officer / director	1 Aug 2005	Other	1702993
Michael Gerard Millard	Chief executive officer / president	1 Jan 2006	Other	722703
Gary John Cuccia	Chief financial officer	1 Jun 2006	Other	1386493
N.A. Rbs Citizens	Direct shareholder	1 Sep 2007	75% - 100%	20-2635739
Dana Ann Drago	Director	1 Dec 2007	Other	xxx-xx-xxxx
Lawrence Seidl	Director of sales, director	1 Feb 2009	Other	2877717
Maura Keegan Fairbanks	Senior vice president/director of operations	1 Nov 2009	Other	5738071
Dawn Autin Dupre	President/director	1 Jun 2010	Other	2361976
Edward Patrick Cahillane	Chief compliance officer	1 Dec 2011	Other	3100375
Diane Patricia Novak	Chief compliance officer	1 Jun 2013	Other	1857183

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
The Royal Bank Of Scotland Group Plc	Sole shareholder	1 Apr 1969	75% - 100%	foreign
Inc. Citizens Financial Group	Direct shareholder	1 Jun 1985	75% - 100%	05-0412693
The Royal Bank Of Scotland Plc	Sole shareholder	1 May 1999	75% - 100%	13-1898944
Rbsg International Holdings Ltd.	Sole shareholder	1 May 1999	75% - 100%	foreign
Inc. Citizens Financial Group	Direct shareholder	1 May 2005	75% - 100%	05-0412693
Her Majesty's Treasury	Shareholder	1 Dec 2008	50% - 75%	foreign

Based in Dedham

The principal office where Cco Investment Services Corp. performs its advisory services is located at 770 Legacy Place, Dedham, MA 02026 The mailing address of the firm is 725 Canton Street, Norwood, MA 02062. An additional office of the firm is in Smithfield, RI. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 1-800-942-8300 or by fax 877-349-3048. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.