Alison L. Commiciotto
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.
Alison Lynn Commiciotto, who also goes by Alison Commiciotto, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 2008. Alison had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2012 - March 13, 2015
ICONIQ CAPITAL, LLC
June 13, 2011 - March 9, 2012
MORGAN STANLEY
June 13, 2011 - March 9, 2012
MORGAN STANLEY
January 6, 2011 - April 8, 2011
UBS FINANCIAL SERVICES INC.
April 23, 2008 - April 8, 2011
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
ICONIQ CAPITAL, LLC
CRD#: 159198 / SEC#: 801-72878
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
Current Firm
ICONIQ CAPITAL, LLC
CRD#: 159198 / SEC#: 801-72878
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,537 |
| AUM (Assets Under Management) | $ 95,050,705,302 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 01/25/2024 | ||
| 02/23/2023 |
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.
