BR
Brian J. Racanelli
ATB CAPITAL MARKETS USA
Denver, CO 80206
Some features on this profile are disabled
CRD#: 3169469
BR
Professional summary
Brian Joseph Racanelli is a registered financial professional currently at ATB CAPITAL MARKETS USA INC. located in Denver, Colorado.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 25 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Joseph Racanelli'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®
NoneExperience
Current
May 2, 2017 - Present
ATB CAPITAL MARKETS USA INC.
Office #1: 100 Filmore Street, Suite 551, Denver, CO 80206RIA
BD
CRD#: 155053
Denver, CO
Past
May 28, 2014 - April 24, 2017
CANTOR FITZGERALD & CO.
BD
CRD#: 134
DENVER, CO
Past
February 9, 2011 - February 11, 2014
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
DENVER, CO
Past
August 31, 2009 - November 29, 2010
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
DENVER, CO
Past
February 4, 2008 - August 31, 2009
TRISTONE CAPITAL CO.
BD
CRD#: 145124
DENVER, CO
Past
January 11, 2007 - April 7, 2008
TRISTONE CAPITAL (U.S.A.) INC.
BD
CRD#: 119223
DENVER, CO
Past
April 30, 2004 - December 19, 2006
ML PETRIE PARKMAN CO., INC.
BD
CRD#: 25894
DENVER, CO
Past
May 24, 2001 - April 2, 2004
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
December 4, 1998 - May 9, 2001
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
ATB CAPITAL MARKETS USA INC.
ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.
CRD#: 155053 / SEC#: 801-128511, 8-68692
RIA
Registered Investment Advisory firm - SEC (1/12/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Alabama(8/28/2020)
RR
Alaska(7/10/2020)
RR
Arizona(12/18/2020)
RR
Arkansas(9/11/2020)
RR
California(5/2/2017)
RR
Colorado(5/16/2017)
RR
Connecticut(5/9/2017)
RR
Delaware(7/10/2020)
RR
District of Columbia(7/22/2020)
RR
Florida(7/10/2020)
RR
Georgia(6/12/2017)
RR
Hawaii(9/14/2020)
RR
Idaho(7/10/2020)
RR
Illinois(6/7/2017)
RR
Indiana(7/13/2020)
RR
Iowa(7/10/2020)
RR
Kansas(2/1/2021)
RR
Kentucky(5/16/2017)
RR
Louisiana(5/16/2017)
RR
Maine(2/23/2021)
RR
Maryland(5/23/2017)
RR
Massachusetts(6/9/2017)
RR
Michigan(12/1/2020)
RR
Minnesota(5/16/2017)
RR
Mississippi(7/10/2020)
RR
Missouri(7/10/2020)
RR
Montana(7/10/2020)
RR
Nebraska(7/10/2020)
RR
Nevada(12/14/2020)
RR
New Hampshire(11/9/2020)
RR
New Jersey(7/31/2017)
RR
New Mexico(2/11/2021)
RR
New York(5/2/2017)
RR
North Carolina(7/10/2020)
RR
North Dakota(10/29/2020)
RR
Ohio(7/12/2020)
RR
Oklahoma(7/10/2020)
RR
Oregon(7/10/2020)
RR
Pennsylvania(5/16/2017)
RR
Puerto Rico(9/22/2020)
RR
Rhode Island(7/10/2020)
RR
South Carolina(9/4/2020)
RR
South Dakota(7/20/2020)
RR
Tennessee(9/2/2021)
RR
Texas(5/31/2017)
RR
Utah(5/2/2017)
RR
Vermont(12/16/2020)
RR
Virgin Islands(10/8/2020)
RR
Virginia(1/22/2021)
RR
Washington(5/16/2017)
RR
West Virginia(8/11/2020)
RR
Wisconsin(5/16/2017)
RR
Wyoming(7/10/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/11/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 5/18/1999
NYSE Trading Assistant ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ATB CAPITAL MARKETS USA INC.
ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.
CRD#: 155053 / SEC#: 801-128511, 8-68692
RIA
Registered Investment Advisory firm - SEC (1/12/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
#410 585 8th Avenue Sw, Calgary, Alberta, T2P 1G1
Mailing Address
#410 585 8th Avenue Sw, Calgary, T2P 1G1
Phone number
(403) 593-8600
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
31
FINRA licenses (53 States and Territories)
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.
