Frank D. Pellicori

CRD#: 4233111

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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.

Frank Domenic Pellicori was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 5 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

April 7, 2021 - June 17, 2026

VIVALDI CAPITAL MANAGEMENT LP

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.

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

CRD#: 149777

CHICAGO, IL

Past

May 20, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

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

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".

VIVALDI CAPITAL MANAGEMENT LP

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/26/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/22/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/19/2009

General Securities Representative Examination

Current Firm

VIVALDI CAPITAL MANAGEMENT LP

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

SEC notice filing (45 States and Territories)

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 Accounts	8,413
AUM (Assets Under Management)	$ 4,647,085,822

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2026	Cover Page	Report
07/22/2024	Cover Page	Report
10/24/2023	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.

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Advisor Monitoring

Firm Stability Insights

Frank D. Pellicori

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

VIVALDI CAPITAL MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2009

SIE

Date: 10/1/2018

Series 3

Date: 12/22/2009

Series 7

Date: 5/19/2009

Current Firm

VIVALDI CAPITAL MANAGEMENT LP

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VIVALDI CAPITAL MANAGEMENT LP

TRUST BUT VERIFY

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