John C. Piccarreto
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.
John Charles Piccarreto JR. was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2014. John had worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2015 - December 21, 2015
ALPHASTAR CAPITAL MANAGEMENT
June 30, 2014 - July 22, 2015
FIRST AMERICAN SECURITIES, INC.
January 29, 2014 - July 22, 2015
FIRST AMERICAN SECURITIES, INC.
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
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
Series 62
Date: 3/3/2014
Corporate Securities Limited Representative ExaminationCurrent Firm
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
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.
