AT
Alain G. Tripeau
JOSEPH GUNNAR & CO. LLC
NEW ROCHELLE, NY
Some features on this profile are disabled
CRD#: 5388446
AT
Professional summary
Alain Germain Tripeau JR., who also goes by Alain Germain Tripeau, Tripp Tripeau, is a registered financial advisor currently at JOSEPH GUNNAR & CO. LLC located in New Rochelle, New York.
Alain is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Alain has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alain Germain Tripeau | Tripp Tripeau
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.
BUTTONWOOD SELECT OPPORTUNITIES MANAGEMENT ASSOCIATES LLC C/O JOSEPH GUNNAR & CO., LLC AT 1000 RXR PLAZA, UNIONDALE, NY 11556. GENERAL PARTNER OF THE JGUN AFFILIATED BUTTONWOOD FUNDS AS A NON-VOTING PASSIVE MEMBER SINCE 01/2013. O HOURS/WK IN THIS INVESTMENT RELATED BUSINESS. DUTIES ARE PASSIVE BUT THERE IS A POTENTIAL OF EARNING COMPENSATION ON A CONTINGENT BASIS AT THE DISCRETION OF THE MANAGING MEMBERS.; BUTTONWOOD H1 MANAGEMENT ASSOCIATES LLC AT 1000 RXR PLAZA, UNIONDALE, NY 11556. MEMBER OF A JGUN AFFILIATED BUTTONWOOD FUND AS A NON-VOTING PASSIVE MEMBER SINCE 11/2017. 0 HOURS/WK IN THIS INVESTMENT RELATED BUSINESS. DUTIES ARE PASSIVE BUT THERE IS A POTENTIAL OF EARNING COMPENSATION ON A CONTINGENT BASIS AT THE DISCRETION OF THE MANAGING MEMBERS.
CRS (Client Relationship Summary) - RIA
Click below to view Alain Germain Tripeau JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alain Germain Tripeau JR.'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
May 24, 2023 - Present
JOSEPH GUNNAR & CO. LLC
RIA
BD
CRD#: 24795
NEW ROCHELLE, NY
Current
December 21, 2012 - Present
JOSEPH GUNNAR & CO. LLC
Office #1: 1000 Rxr Plaza 10th Floor, Uniondale, NY 11556Office #2: 1000 Rxr Plaza East Tower, Uniondale, NY 11556RIA
BD
CRD#: 24795
UNIONDALE, NY
Past
February 11, 2009 - January 2, 2013
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
GREENWICH, CT
Past
June 17, 2008 - December 9, 2008
EASTBROOK CAPITAL GROUP LLC
BD
CRD#: 39781
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".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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.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
Alabama(1/25/2013)
RR
Arizona(12/21/2012)
RR
California(12/21/2012)
RR
Connecticut(12/21/2012)
RR
Florida(12/21/2012)
RR
Georgia(12/21/2012)
RR
Idaho(12/21/2012)
RR
Illinois(12/21/2012)
RR
Indiana(1/7/2013)
RR
Iowa(12/21/2012)
RR
Kansas(12/21/2012)
RR
Kentucky(12/21/2012)
RR
Maine(12/21/2012)
RR
Maryland(12/21/2012)
RR
Massachusetts(12/21/2012)
RR
Michigan(12/21/2012)
RR
Missouri(8/12/2015)
RR
Nebraska(12/21/2012)
RR
New Jersey(12/13/2023)
RR
New York(12/21/2012)
IAR
New York(5/24/2023)
RR
North Carolina(12/21/2012)
RR
Pennsylvania(12/21/2012)
RR
Rhode Island(4/30/2024)
RR
South Dakota(12/21/2012)
RR
Texas(12/21/2012)
RR
Virginia(12/21/2012)
RR
Washington(12/21/2012)
RR
Wisconsin(12/21/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,967,899 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 13 |
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.
