Daryl J. Alessi
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.
Daryl Joseph Alessi, who also goes by Daryl Alessi, was a registered financial professional .
Daryl is a previously registered financial professional and started their career in finance in 2006. Daryl had worked at 5 firms and has passed the Series 66, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2011 - March 6, 2013
1ST GLOBAL ADVISORS INC
January 5, 2011 - March 6, 2013
1ST GLOBAL CAPITAL CORP.
February 1, 2010 - April 7, 2010
R. SEELAUS & CO., LLC
July 23, 2009 - December 22, 2009
PRUCO SECURITIES, LLC.
August 7, 2006 - May 13, 2009
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
Exams
Series 55
Date: 8/9/2008
Limited Representative-Equity Trader ExamCurrent Firm
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
