Rachael Ciocca has been an investment adviser representative at Warner Group since April 2025, and is not listed among the firm’s executive officers or direct owners. Rachael Ciocca holds a Bachelor of Arts in History from Western Connecticut State University.
Warner Group LLC is a Madison, CT firm with $458M under management, 758 clients and 7 advisers across 3 offices, as of its September 2026 filing.
Rachael Ciocca is Director of Client Services and Financial Advisor at Warner Wealth. She joined the firm in June 2019, and her role has grown from Client Service Associate to Director of Client Services, and now Financial Advisor. As Director of Client Services she works closely with the client services team, and in her advisory role she helps clients pursue their financial goals.
Rachael Ciocca’s longest registration is the current one, 1 year at Warner Group since 2025. Before joining Warner Group in 2025, Rachael Ciocca was registered through LPL Financial LLC.
- LPL Financial LLC– · under a yearFort Mill, SC · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Rachael Ciocca is registered as an investment adviser representative in Connecticut, since April 2025.
- ConnecticutSince 3 April 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 18 March 2025 |
| Series 7TO | General Securities Representative Examination | 11 July 2023 |
| SIE | Securities Industry Essentials Examination | 31 January 2023 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- CRD
- 7122170
- Firm
- Warner Group · CRD 334877
- Office
- 1 Enterprise Drive, Suite 105, Shelton, CT 06484
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2023
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- warnerwm.com
Where does Rachael Ciocca work?
Rachael Ciocca is an investment adviser representative registered through Warner Group LLC since April 2025, and is not listed among the firm’s executive officers or direct owners.
Is Rachael Ciocca a financial advisor?
Yes. Rachael Ciocca has a current investment-adviser registration in Connecticut, through Warner Group since April 2025.
How many years of experience does Rachael Ciocca have?
Rachael Ciocca has 3 years in the financial industry, since July 2023, across 2 adviser firms.
What exams has Rachael Ciocca passed?
Rachael Ciocca has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in January 2023.
Where did Rachael Ciocca work before Warner Group?
Before Warner Group, Rachael Ciocca was registered through LPL Financial LLC, March 2025 to April 2025.
Where is Rachael Ciocca based?
Rachael Ciocca’s registered office is in Shelton, CT.
Is Rachael Ciocca registered with FINRA?
Yes. Rachael Ciocca has a current broker registration, under CRD 7122170.
Source: FINRA BrokerCheck
How can I verify Rachael Ciocca’s record?
Search CRD 7122170 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Rachael Ciocca’s full registration record.
- Lisa LaFondChief Compliance Officer
James WarnerOwner