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AP

Alan D. Pinto

GLOBALIST CAPITAL
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 2392283
AP

Professional summary

Alan David Pinto is a registered financial professional currently at GLOBALIST CAPITAL, LLC located in Santa Monica, California.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1994. Alan has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 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) - BD

Click below to view Alan David Pinto'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

December 12, 2022 - Present

GLOBALIST CAPITAL, LLC

Office #1: 100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
BD
CRD#: 152786
Santa Monica, CA
Past

April 11, 2018 - July 14, 2021

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

March 10, 2015 - May 9, 2018

SEALION CAPITAL, LLC

BD
CRD#: 171807
New York, NY
Past

September 2, 2013 - February 23, 2015

GLOBALIST CAPITAL, LLC

BD
CRD#: 152786
NEW YORK, NY
Past

October 17, 2003 - March 25, 2013

COWEN SECURITIES LLC

BD
CRD#: 23510
NEW YORK, NY
Past

July 22, 2002 - July 15, 2003

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

February 13, 2002 - March 28, 2002

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

June 11, 2001 - December 21, 2001

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

June 10, 1996 - August 19, 1998

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

January 1, 1994 - June 24, 1996

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/12/2022)
RR
New York
(12/15/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/6/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/3/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/8/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GLOBALIST CAPITAL, LLC
GLOBALIST CAPITAL, LLC | HIGHLINE SECURITIES, LLC | GLOBALIST SECURITIES, LLC

CRD#: 152786 / SEC#: , 8-68478

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

Main Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Mailing Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Phone number
(310) 319-2000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BARON ADVISORS, LLCMANAGING MEMBER
KIRSCHENBLATT, CHAD ETHANCFO/FINOP2503352
MORGANBESSER, NEIL BARRYCEO/CCO2375615

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

GLOBALIST CAPITAL, LLC

CRD#: 152786Santa Monica, CA 90401

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