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AV

Alejandro M. Velazquez

CARNEGIE INVESTMENT COUNSEL
Stamford, CT 06905
Some features on this profile are disabled
CRD#: 6089811
AV

Professional summary

Alejandro Miguel Velazquez, CFP®, who also goes by Al Velazquez, Alex Velazquez, is a registered financial advisor currently at CARNEGIE INVESTMENT COUNSEL located in Stamford, Connecticut.

Alejandro is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Alejandro has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Al Velazquez | Alex Velazquez

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) - RIA

Click below to view Alejandro Miguel Velazquez'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®
CFP®

Certified Financial Planner

Start date: 2017

Experience

Current

February 5, 2025 - Present

CARNEGIE INVESTMENT COUNSEL

Office #1: 4 High Ridge Park 3rd Floor, Stamford, CT, 06905
RIA
CRD#: 150488
Stamford, CT
Past

May 29, 2015 - August 18, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
NEW YORK, NY
Past

March 26, 2015 - August 18, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
NEW YORK, NY
Past

February 26, 2014 - January 16, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
NEW YORK, NY
Past

January 16, 2014 - February 26, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
NEW YORK, NY
Past

April 12, 2013 - December 20, 2013

DAVID LERNER ASSOCIATES, INC.

BD
CRD#: 5397
WHITE PLAINS, NY
Past

July 23, 2012 - March 5, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
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".
CI
CARNEGIE INVESTMENT COUNSEL
CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA
Registered Investment Advisory firm - (4/30/2009 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Connecticut
(2/5/2025)
IAR
New York
(2/5/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/26/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/4/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/3/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/3/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/3/2024
General Securities Sales Supervisor - Options Module Examination

Current Firm

CI
CARNEGIE INVESTMENT COUNSEL
CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA
Registered Investment Advisory firm - (4/30/2009 Approved)
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Contact information

Main Address
30300 Chagrin Boulevard, Pepper Pike, OH 44124
Mailing Address
Phone number
(216) 367-4114
Established
Firm type
Fiscal year end
# of Employees
70

SEC notice filing (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CARNEGIE FORM ADV PART 2A 03-31-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts8,127
AUM (Assets Under Management)$ 6,520,130,588

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/09/2024
Cover Page
Report
07/13/2023
Cover Page
Report
02/08/2023
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.

Company Information

CARNEGIE INVESTMENT COUNSEL

CRD#: 150488Stamford, CT 06905

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