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Paul C. Difrancesco

Some features on this profile are disabled
CRD#: 1932215
PD

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.

Paul Charles Difrancesco was a registered financial advisor .

Paul is a previously registered financial advisor and started their career in finance in 1989. Paul had worked at 10 firms and has passed the Series 63, Series 65, Series 7, Series 62, Series 55, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 14, 2011 - May 5, 2014

ASCENDIANT CAPITAL MARKETS, LLC

BD
CRD#: 152912
SAN DIEGO, CA
Past

August 12, 2005 - January 11, 2012

VIEWPOINT SECURITIES, LLC

BD
CRD#: 104226
LA JOLLA, CA
Past

August 9, 2002 - July 23, 2007

DECISION CAPITAL MANAGEMENT, LLC

RIA
CRD#: 117330
SAN DIEGO, CA
Past

June 15, 2000 - July 11, 2001

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

January 20, 1999 - May 22, 2000

PREFERREDTRADE, INC.

BD
CRD#: 10993
SAN FRANCISCO, CA
Past

January 15, 1992 - June 26, 1995

TORREY PINES SECURITIES, INC.

BD
CRD#: 17120
Past

February 7, 1991 - June 26, 1995

TORREY PINES SECURITIES, INC.

BD
CRD#: 17120
SAN DIEGO, CA
Past

January 25, 1991 - February 21, 1991

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

August 28, 1989 - February 4, 1991

RCL NORTHWEST, INC.

BD
CRD#: 14101
Past

April 18, 1989 - September 6, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

April 18, 1989 - October 26, 1990

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321

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
RR
Series 63
Date: 6/2/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/7/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 8/11/2005
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 4/5/1999
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 6/13/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/27/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/7/1999
General Securities Sales Supervisor - Options Module Examination

Current Firm

AC
ASCENDIANT CAPITAL MARKETS, LLC
ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912 / SEC#: , 8-68487

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
110 Front Street, Suite 300, Jupiter, FL 33477
Mailing Address
4 Park Plaza, Suite 1950, Irvine, CA 92614
Phone number
(949) 259-4900
Established
Nevada since 01/04/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASCENDIANT CAPITAL PARTNERS, LLCPARENT CO / SOLE MEMBER
BERGENDAHL, MARK ALLANPRESIDENT1394272
BROWN, MICHAEL OWENCFO/ FINOP1658070
MEGENITY, BRIAN MCDONALDCCO2889637
WILHITE, BRADLEYCHIEF OPERATING OFFICER4722291

Disclosures

Regulatory Event10

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.

Company Information

ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912

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