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Fred Avalli

Some features on this profile are disabled
CRD#: 3080268
FA

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.

Fred Avalli, who also goes by Fred A Avalli, Fred Anthony Avalli, was a registered financial professional .

Fred is a previously registered financial professional and started their career in finance in 1998. Fred had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Fred A Avalli | Fred Anthony Avalli

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 19, 2021 - July 29, 2024

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

December 10, 2019 - August 7, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SEASIDE, CA
Past

November 5, 2019 - August 7, 2020

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SEASIDE, CA
Past

February 20, 2013 - September 5, 2019

OAK TREE SECURITIES, INC.

RIA
CRD#: 18126
HOLLISTER, CA
Past

February 20, 2013 - September 5, 2019

OAK TREE SECURITIES, INC.

BD
CRD#: 18126
LIVERMORE, CA
Past

May 2, 2012 - November 20, 2012

OSAIC SERVICES, INC.

RIA
CRD#: 133763
HOLLISTER, CA
Past

April 23, 2012 - November 20, 2012

OSAIC SERVICES, INC.

BD
CRD#: 133763
HOLLISTER, CA
Past

April 3, 2012 - May 17, 2012

OAK TREE SECURITIES, INC.

RIA
CRD#: 18126
HOLLISTER, CA
Past

April 3, 2012 - May 17, 2012

OAK TREE SECURITIES, INC.

BD
CRD#: 18126
HOLLISTER, CA
Past

January 12, 2009 - June 9, 2012

STRATEGIC FINANCIAL PARTNERS

RIA
CRD#: 148349
HOLLISTER, CA
Past

December 12, 2007 - March 21, 2012

OMNIVEST, INC.

BD
CRD#: 13396
HOLLISTER, CA
Past

October 15, 2007 - November 28, 2007

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
DENVER, CO
Past

August 22, 2007 - November 28, 2007

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
DENVER, CO
Past

August 23, 2006 - September 14, 2007

KOVACK ADVISORS, INC.

RIA
CRD#: 140808
DENVER, CO
Past

August 8, 2006 - September 14, 2007

KOVACK SECURITIES INC.

BD
CRD#: 44848
DENVER, CO
Past

May 10, 2005 - August 15, 2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

July 29, 2003 - April 29, 2005

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
MORGAN HILL, CA
Past

June 23, 2003 - April 29, 2005

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

July 30, 2002 - March 11, 2003

STONE & YOUNGBERG LLC

RIA
CRD#: 795
SAN FRANCISCO, CA
Past

September 28, 2001 - March 11, 2003

STONE & YOUNGBERG LLC

BD
CRD#: 795
SAN FRANCISCO, CA
Past

December 7, 2000 - October 22, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 7, 1999 - September 11, 2000

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

July 27, 1998 - March 30, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/24/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/17/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1998
General Securities Representative Examination

Current Firm

CF
CHELSEA FINANCIAL SERVICES
CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
242 Main Street, Staten Island, NY 10307
Phone number
(718) 967-8400
Established
New York since 05/05/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PISAPIA, JOHN THOMASPRESIDENT2336216
SEBOLD, STEPHEN RAPHAELCHIEF COMPLIANCE OFFICER2453748

Disclosures

Regulatory Event4

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

CHELSEA FINANCIAL SERVICES

CRD#: 47770

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