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FP

Frank D. Pellicori

VIVALDI CAPITAL MANAGEMENT LP
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4233111
FP

Professional summary

Frank Domenic Pellicori is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in Chicago, Illinois.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Frank has worked at 5 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
DePaul University / No / 1 East Jackson Blvd. Chicago, IL 60604 / Non Profit / Adjunct Lecturer / Start Date 03/27/2017 / Teaches up to 12 hours per month, none of which are during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Domenic Pellicori's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 7, 2021 - Present

VIVALDI CAPITAL MANAGEMENT LP

Office #1: 225 West Wacker Suite 2100, Chicago, IL 60606
RIA
CRD#: 160150
Chicago, IL
Past

November 4, 2011 - April 6, 2021

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

November 4, 2011 - April 6, 2021

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHICAGO, IL
Past

June 11, 2009 - November 9, 2011

MORGAN STANLEY

RIA
CRD#: 149777
CHICAGO, IL
Past

June 1, 2009 - November 9, 2011

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL
Past

May 20, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CHICAGO, IL
Past

January 22, 2001 - May 23, 2006

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHICAGO, IL
Past

September 11, 2000 - May 23, 2006

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

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".
VC
VIVALDI CAPITAL MANAGEMENT LP
GOLDEN, RANDAL LAWRENCE | VIVALDI INVESTMENT RESEARCH | VIVALDI INNOVATIVE TECHNOLOGIES LLC (RELYING ADVISER) | VIVALDI CAPITAL MANAGEMENT, LLC | VIVALDI CAPITAL MANAGEMENT LP | VCM RETIREMENT PLAN SERVICES

CRD#: 160150 / SEC#: 801-73024

RIA
Registered Investment Advisory firm - (2/13/2012 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Illinois
(4/7/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/26/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/22/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/2009
General Securities Representative Examination

Current Firm

VC
VIVALDI CAPITAL MANAGEMENT LP
GOLDEN, RANDAL LAWRENCE | VIVALDI INVESTMENT RESEARCH | VIVALDI INNOVATIVE TECHNOLOGIES LLC (RELYING ADVISER) | VIVALDI CAPITAL MANAGEMENT, LLC | VIVALDI CAPITAL MANAGEMENT LP | VCM RETIREMENT PLAN SERVICES

CRD#: 160150 / SEC#: 801-73024

RIA
Registered Investment Advisory firm - (2/13/2012 Approved)
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Contact information

Main Address
225 West Wacker Suite 2100, Chicago, IL 60606
Mailing Address
Phone number
(312) 248-8300
Established
Firm type
Fiscal year end
# of Employees
69

SEC notice filing (45 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VIVALDI CAPITAL MANAGEMENT LP FORM ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts8,413
AUM (Assets Under Management)$ 4,647,085,822

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/22/2024
Cover Page
Report
10/24/2023
Cover Page
Report
07/26/2022
Cover Page
Report

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

VIVALDI CAPITAL MANAGEMENT LP

CRD#: 160150Chicago, IL 60606

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