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DA

Donald Alpern

PARK AVENUE SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 5601001
DA

Professional summary

Donald Alpern, who also goes by Donald Anthony Alpern, is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in New York, New York and MADISON AVENUE SECURITIES, LLC located in Denver, Colorado.

Donald is registered as a RR (Registered Representative) and started their career in finance in 2008. Donald has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald Anthony Alpern

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) - BD

Click below to view Donald Alpern'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

July 22, 2021 - Present

PARK AVENUE SECURITIES LLC

Office #1: 10 Hudson Yards, New York, NY 10001
RIA
BD
CRD#: 46173
New York, NY
Current

May 18, 2026 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 4600 S. Syracuse Suite 650, Denver, CO 80237
RIA
BD
CRD#: 23224
Denver, CO
Past

March 8, 2021 - June 14, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
DENVER, CO
Past

January 12, 2015 - March 29, 2019

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

January 30, 2009 - November 8, 2013

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
CENTENNIAL, CO
Past

December 4, 2008 - November 8, 2013

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
CENTENNIAL, CO

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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

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

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
Colorado
(7/22/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/29/2009
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 7
Date: 12/3/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MADISON AVENUE SECURITIES FORM ADV PART 2A 3-26-2025 (10/3/2025)
MADISON AVENUE SECURITIES WRAP PROGRAM BROCHURE 3-26-2025 (10/3/2025)

Direct owners and executive officers

NamePositionCRD#
KT EQUITY PARTNERS II, LLCDIRECT OWNER
CALLANAN, DAVID JAMESMANAGER4237166
FIXSEN, VILAYPHONECHIEF OPERATING OFFICER4585926
JENSEN, GAIL MARIEDEPUTY CHIEF COMPLIANCE OFFICER1943705
MCNEES, MARTIN WILLIAMPRESIDENT3168410
PIERSON, MELISSA KAYCHIEF COMPLIANCE OFFICER1685017
WOODS, SANDRA ANNFINOP6200533

Regulatory assets under management

Total Number of Accounts14,100
AUM (Assets Under Management)$ 2,038,801,712

Disclosures

Regulatory Event8
Arbitration1

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

MADISON AVENUE SECURITIES, LLC

CRD#: 23224New York, NY 10001

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