Alfonso R. Depippo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alfonso Robert Depippo, who also goes by Al Depippo, Alfonso Roberto Depippo, was a registered financial professional .
Alfonso is a previously registered financial professional and started their career in finance in 1987. Alfonso had worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2015 - August 15, 2017
TRADEWEB LLC
December 8, 2015 - September 13, 2018
TRADEWEB DIRECT LLC
November 3, 2014 - December 1, 2015
IMPERIAL CAPITAL, LLC
April 15, 2013 - October 15, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 5, 2012 - April 15, 2013
VIRTU AMERICAS LLC
September 6, 2011 - March 13, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
January 31, 2007 - August 19, 2011
CHAPDELAINE TULLETT PREBON, LLC
September 28, 2005 - January 3, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
August 1, 2000 - September 19, 2005
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
June 19, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
March 30, 1994 - June 5, 1995
TULLETT PREBON FINANCIAL SERVICES LLC
April 16, 1993 - March 1, 1994
BROUNOFF, CLAIRE & CO., INC.
August 1, 1991 - March 4, 1993
HERZOG, HEINE, GEDULD, LLC
March 14, 1991 - June 18, 1991
JJC SECURITIES CO., INC.
December 22, 1987 - March 13, 1991
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRADEWEB LLC
CRD#: 42759 / SEC#: , 8-49994
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB GLOBAL LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER | 4291263 |
| PITTINSKY, JONATHAN DAVID | DIRECTOR OF FINANCIAL OPERATIONS, FIN-OP PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Red Flags
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