Denise C. Alpine
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.
Denise Chiappinelli Alpine, who also goes by Denise Louise Chiappinelli, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2000. Denise had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4, Series 53, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2004 - November 14, 2005
PCXTRADE, LLC
March 4, 2003 - August 24, 2005
ADVANZ SECURITIES, INC.
February 4, 2003 - September 12, 2005
ADVANZ SECURITIES, INC.
June 12, 2001 - December 1, 2016
MONTECITO ADVISORS, INC.
September 14, 2000 - December 1, 2016
MONTECITO ADVISORS, INC.
April 24, 2000 - September 28, 2000
INVESTMENT AFFILIATE, 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 28
Date: 4/2/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PCXTRADE, LLC
CRD#: 40297 / SEC#: , 8-49002
Contact information
Documents
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.
