Denise K. Steffel
Professional summary
Denise Kathleen Steffel, who also goes by Denise Kathleen Martell, Denise K Steffel, Denise Steffel, Denise Kathleen Unsworth, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.
Denise is registered as a RR (Registered Representative) and started their career in finance in 2004. Denise has worked at 7 firms and has passed the Series 66, Series 57TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Denise Kathleen Steffel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2022 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017July 31, 2017 - April 8, 2022
RAYMOND JAMES & ASSOCIATES, INC.
June 15, 2012 - January 24, 2017
APEX CLEARING CORPORATION
November 7, 2008 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
June 27, 2007 - October 14, 2008
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
June 23, 2005 - October 14, 2008
FIRST SOUTHWEST COMPANY, LLC
May 19, 2005 - July 8, 2005
UBS FINANCIAL SERVICES INC.
June 14, 2004 - July 8, 2005
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/19/2022)
(3/21/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Investors' Exchange LLC
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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