Paul Alotta

GREAT ELM CAPITAL MANAGEMENT

Charleston, SC 29492

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CRD#: 1663195

Professional summary

Paul Alotta is a registered financial advisor currently at GREAT ELM CAPITAL MANAGEMENT, LLC located in Charleston, South Carolina.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Paul has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Paul Alotta's 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

October 25, 2022 - Present

GREAT ELM CAPITAL MANAGEMENT, LLC

Office #1: 295 Seven Farms Drive Suite 204, Charleston, SC 29492

RIA

CRD#: 284304

Charleston, SC

Past

September 5, 2017 - July 12, 2022

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA

CRD#: 108258

STAMFORD, CT

Past

December 19, 2014 - August 29, 2017

NORTH RIDGE SECURITIES CORP.

CRD#: 27098

babylon, NY

Past

June 3, 2011 - January 2, 2013

FM PARTNERS HOLDINGS LLC

CRD#: 134736

NEW YORK, NY

Past

February 29, 2008 - November 19, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

August 21, 2007 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

May 21, 1987 - July 31, 2007

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GREAT ELM CAPITAL MANAGEMENT, LLC

GREAT ELM CAPITAL MANAGEMENT, INC. | GREAT ELM CAPITAL MANAGEMENT, LLC

CRD#: 284304 / SEC#: 801-108228

RIA

Registered Investment Advisory firm - (9/1/2016 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(10/25/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/22/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/29/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/2/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/1995

General Securities Principal Examination

Current Firm

GREAT ELM CAPITAL MANAGEMENT, LLC

GREAT ELM CAPITAL MANAGEMENT, INC. | GREAT ELM CAPITAL MANAGEMENT, LLC

CRD#: 284304 / SEC#: 801-108228

RIA

Registered Investment Advisory firm - (9/1/2016 Approved)

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Contact information

Main Address

3801 Pga Boulevard Suite 603, Palm Beach Gardens, FL 33410

Mailing Address

Phone number

(561) 214-7901

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

GREAT ELM FORM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 350,862,168

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

Paul Alotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Alotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

NORTH RIDGE SECURITIES CORP.

FM PARTNERS HOLDINGS LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

GREAT ELM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/22/2015

Series 63

Date: 11/15/1993

SIE

Date: 8/29/2017

Series 55

Date: 8/2/2006

Series 7

Date: 5/16/1987

Series 24

Date: 11/21/1995

Current Firm

GREAT ELM CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREAT ELM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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