Carlo Scanni
Professional summary
Carlo Scanni, who also goes by Carl Scottie, is a registered financial advisor currently at TSG ALPHA PARTNERS, LLC located in Ronkonkoma, New York and TSG CAPITAL ADVISORS located in Ronkonkoma, New York.
Carlo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Carlo has worked at 13 firms and has passed the Series 63, Series 65, Series 82TO, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carlo Scanni's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2022 - Present
TSG ALPHA PARTNERS, LLC
Office #1: 3275 Veterans Memorial Hwy Ste B9, Ronkonkoma, NY 11779January 17, 2025 - Present
TSG CAPITAL ADVISORS
Office #1: 3275 Veterans Memorial Highway Suite B-9, Ronkonkoma, NY 11779May 11, 2017 - February 20, 2020
ICD SECURITIES INC.
September 23, 2014 - March 30, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 13, 2007 - June 4, 2014
FIRST EMPIRE SECURITIES, INC.
June 1, 2007 - September 7, 2007
INTERMERCHANT SECURITIES LLC
August 18, 2006 - January 4, 2007
BASIC INVESTORS INC.
January 26, 2004 - August 20, 2004
INVESTORS CAPITAL CORP.
January 13, 1999 - October 15, 2002
SECURITIES AMERICA, INC.
September 16, 1998 - January 6, 1999
PARKER BROMLEY LTD.
November 23, 1993 - August 31, 1998
FIRST ASSET MANAGEMENT, INC.
June 12, 1990 - November 30, 1993
SOUTH RICHMOND SECURITIES, INC.
May 14, 1990 - August 20, 1990
VANDERBILT SECURITIES, INC.
Primary Firm SEC Registration
TSG ALPHA PARTNERS, LLC
CRD#: 319493 / SEC#: 801-131801
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/20/2025)
(1/21/2025)
(1/21/2025)
(1/21/2025)
(3/20/2025)
(1/21/2025)
(3/20/2025)
(3/19/2025)
(3/20/2025)
(3/20/2025)
(1/21/2025)
(1/21/2025)
(11/4/2022)
(1/17/2025)
(1/22/2025)
(1/21/2025)
(1/21/2025)
(4/15/2025)
(8/11/2025)
Exams
Series 82TO
Date: 1/17/2025
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 1/17/2025
General Securities Representative ExaminationFINRA
Current Firm
TSG ALPHA PARTNERS, LLC
CRD#: 319493 / SEC#: 801-131801
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 96 |
| AUM (Assets Under Management) | $ 75,424,005 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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