Darryl L. Alley
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.
Darryl Lee Alley, who also goes by Darryl Alley, was a registered financial professional .
Darryl is a previously registered financial professional and started their career in finance in 1991. Darryl had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2008 - November 16, 2012
MADISON AVENUE SECURITIES, LLC
October 12, 2007 - May 15, 2008
NEWEDGE USA, LLC
November 17, 2003 - January 6, 2004
ROUND HILL SECURITIES, INC.
January 2, 2003 - September 19, 2003
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
November 12, 2002 - January 3, 2003
ROUND HILL SECURITIES, INC.
February 9, 2001 - February 13, 2002
BLOOMBERG TRADEBOOK LLC
October 6, 1999 - February 23, 2000
CHARLES SCHWAB & CO., INC.
July 12, 1999 - August 18, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 21, 1995 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
November 14, 1995 - July 12, 1999
BA INVESTMENT SERVICES, INC.
April 5, 1991 - August 13, 1993
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
