Cottone was first registered with a UBS Pain Webber for a year in 2002 and worked at 9 different firms over 13 years, according to his BrokerCheck record.
He settled an investor suitability complaint regarding an overconcentration in private placements in July, 2020 for $150,000. The investor was seeking $260,000
Cottone was registered with Landolt Securities, Inc. in Boca Raton, Florida from 2016 to 2017. Previously, Cottone was registered with Financial West Group in Boca Raton from 2014 to 2016 and with MidAmerica Financial Services, Inc. in Boca Raton from 2012 to 2014. Both Financial West and MidAmerica Financial have been expelled from the securities industry for repeated securities violations.
Cottone also worked with Axa Advisors, LLC, in Boca Raton from 2009 to 2010, when he was terminated. He “was permitted to resign while under investigation in connection with unapproved advertising and sales practice violations,” according to Cottone’s BrokerCheck record.