DC
David R. Carpinello
ALEXANDER CAPITAL, L.P.
Littleton, CO 80120
Some features on this profile are disabled
CRD#: 3256507
DC
Professional summary
David Ray Carpinello is a registered financial professional currently at ALEXANDER CAPITAL, L.P. located in Littleton, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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 David Ray Carpinello'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
February 9, 2023 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 1901 W Littleton Blvd, Ste 218, Littleton, CO 80120BD
CRD#: 40077
Littleton, CO
Past
June 29, 2011 - February 8, 2023
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
LITTLETON, CO
Past
May 6, 2005 - June 13, 2011
MCL FINANCIAL GROUP, INC.
BD
CRD#: 41180
LITTLETON, CO
Past
July 24, 2002 - April 29, 2005
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
DENVER, CO
Past
April 10, 2001 - April 29, 2005
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
January 11, 2000 - February 13, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 21, 1999 - November 19, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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
Arizona(2/9/2023)
RR
Colorado(2/9/2023)
RR
Florida(2/9/2023)
RR
Kansas(2/9/2023)
RR
Maine(2/9/2023)
RR
Minnesota(2/9/2023)
RR
Nevada(2/9/2023)
RR
New Mexico(2/9/2023)
RR
New York(2/9/2023)
RR
Oklahoma(6/24/2025)
RR
Utah(2/9/2023)
RR
Virginia(2/9/2023)
RR
Wyoming(2/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ALEXANDER CAPITAL, L.P.
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701
Mailing Address
10 Drs James Parker Blvd Suite 201, Red Bank, NJ 07701
Phone number
(212) 687-5650
Established
Delaware since 11/28/1995
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
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
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.
