Rocco G. Guidicipietro
Professional summary
Rocco Gerard Guidicipietro, who also goes by Rocco G Guidicipietro, Rocco Peters, is a registered financial professional currently at ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.
Rocco is registered as a RR (Registered Representative) and started their career in finance in 1994. Rocco has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 8, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rocco Gerard Guidicipietro's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2012 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 10 Drs James Parker Blvd, Suite 202, Red Bank, NJ 07701September 16, 2010 - February 13, 2012
LEGEND SECURITIES, INC.
September 30, 1998 - September 13, 2010
J.P. TURNER & COMPANY, L.L.C.
April 2, 1998 - August 31, 1998
PAULSON INVESTMENT COMPANY LLC
September 22, 1997 - March 20, 1998
PARAGON CAPITAL MARKETS, INC.
May 8, 1997 - October 1, 1997
LT LAWRENCE & CO., INC.
October 17, 1996 - May 8, 1997
CONTINENTAL BROKER-DEALER CORP.
May 26, 1995 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
October 5, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
June 7, 1994 - July 12, 1994
HANOVER, STERLING & COMPANY LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/17/2012)
(4/25/2012)
(2/17/2012)
(2/17/2012)
(3/12/2026)
(3/9/2012)
(2/17/2012)
(3/9/2012)
(3/27/2013)
(3/28/2012)
(2/17/2012)
(8/21/2013)
(5/17/2013)
(2/17/2012)
(2/17/2012)
(6/18/2012)
(3/21/2012)
(3/9/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 8/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENA MANAGEMENT LLC | PARTNER | |
| JSEC INC | PARTNER | |
| SALKIND, CATHERINE P | PARTNER | 7021439 |
| RUGGIERE, JOSEPH MATTHEW | PARTNER | 2548108 |
| RUGGIERE, WAYNE NMN | PARTNER | 7200730 |
| SALKIND, GENE Z | PARTNER | 7021417 |
| AMATO, JOSEPH ANTHONY | CEO | 2751635 |
| ELDREDGE, MICHAEL WILLIAM | BRANCH MANAGER ATL OFFICE | 2903014 |
| FAUCI, JODI | GENERAL SECS PRINCIPAL | 4189732 |
| FEMIANO, JOHN FRANCIS | GENERAL SECS PRINCIPAL, ANNUUITIES PRINCIPAL | 2132030 |
| FRANCONE, VITO ANTONIO II | COMPLIANCE ASSOCIATE | 2349326 |
| GUIDICIPIETRO, ROCCO GERARD | COO | 2489732 |
| KRISPEAL, RAQUEL E | SENIOR COMPLIANCE OFFICER, BRANCH MANAGER | 5733217 |
| MARTORANO, CARL MARIO | BRANCH MANAGER/OPERATIONS MANAGER/ROSFP | 2286051 |
| MESSINA, PAUL MICHAEL | GENERAL SECS PRINCIPAL, ROSFP, CO-MSRB PRINCIPAL | 5897543 |
| MISITI, MICHELE ANN | CHIEF COMPLIANCE OFFICER - ROSFP - AML OFFICER | 1931272 |
| ROTH, BARBARA NMN | PARTNER | 7200728 |
| SKOVRONCK, JEANPAUL CHARLES | DESIGNATED SUPERVISOR, DEPUTY AML OFFICER | 2744738 |
| STACK, TIMOTHY | SENIOR COMPLIANCE OFFICER | 1426363 |
| STAFFORD, LAWRENCE ROBERT | CHIEF TECHNOLOGY OFFICER | 7046577 |
| SULLIVAN, THOMAS FRANCIS | FINOP/CHIEF FINANCIAL OFFICER/CO-MSRB PRINCIPAL | 1145000 |
| THE SALKIND FAMILY FOUNDATION | PARTNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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