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Allyson M Brunetti

CRD# 5586353·Registered 2009 - 2011
Previously Registered: Being a previously registered professional could mean that Allyson 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.

Professional Summary

Allyson M Brunetti, who also goes by Ally M. Brunetti, was a registered financial advisor. Allyson was a previously registered financial professional and started their career in finance 2009 - 2011. Allyson had worked at 1 firm and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ally M. Brunetti

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

17 years in the financial services industry

Current & Past Employments

MKM PARTNERS LLC·CRD# 114666
BD
Stamford, CT
May 6, 2009 - April 1, 2011

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Current Firm

MP
MKM PARTNERS LLC

AXE & CO. LLC | MKM PARTNERS LLC

CRD#: 114666 / SEC#: 8-53436
BD
Terminated by SEC on 04/24/2023

Contact Information

Established

Connecticut since 11/30/2001

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ROTH CAPITAL PARTNERS, LLC100% OWNER15407
MESSINA, STEVEN LOUISCO-FOUNDER, CO-CHAIRMAN, CCO1632057

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2009About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Mar 2011About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed May 2009About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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