Alexander A. Yannotti

LUCID CAPITAL MARKETS

New York, NY 10006

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CRD#: 1333893

Professional summary

Alexander Anthony Yannotti, who also goes by Alexander A Yannotti, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 1986. Alexander has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alexander A Yannotti

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Anthony Yannotti's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 25, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006

CRD#: 140345

New York, NY

Past

February 21, 2020 - May 4, 2020

W&S BROKERAGE SERVICES, INC.

RIA

CRD#: 8099

CONCORD, NC

Past

February 18, 2020 - May 4, 2020

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CONCORD, NC

Past

February 24, 2005 - May 15, 2018

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

Past

August 15, 1995 - February 17, 2005

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

July 25, 1987 - August 24, 1990

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

CRD#: 19792

Past

June 10, 1986 - October 31, 1988

WESTPAC POLLOCK & CO. INC.

CRD#: 901

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/14/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/18/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/29/1996

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

CRD#: 140345 / SEC#: , 8-67305

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005

Mailing Address

C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038

Phone number

(212) 306-2700

Established

New York since 06/15/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GI4 HOLDINGS, LLC	SOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.	CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL	1616912
SHAPIRO, ANDREW JAY	CHIEF COMPLIANCE OFFICER	1104658
TANIOS, FADY	CEO	4213894
YANNOTTI, ALEXANDER ANTHONY	FINANCIAL OPERATIONS PRINCIPAL	1333893

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Alexander A. Yannotti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Anthony Yannotti's CRS (Customer Relationship Summary).

Certified licenses

Experience

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

DAIWA CAPITAL MARKETS AMERICA INC.

MIZUHO SECURITIES USA LLC

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

WESTPAC POLLOCK & CO. INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2020

SIE

Date: 5/15/2018

Series 7

Date: 6/11/1998

Series 4

Date: 10/18/2000

Series 27

Date: 1/29/1996

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LUCID CAPITAL MARKETS, LLC

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