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JD

Jacob J. Dvoracek

ALPACA SECURITIES
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 6350925
JD

Professional summary

Jacob Joseph Dvoracek, who also goes by Jacob Dvoracek, Jake Dvoracek, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.

Jacob is registered as a RR (Registered Representative) and started their career in finance in 2016. Jacob has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jacob Dvoracek | Jake Dvoracek

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 Jacob Joseph Dvoracek'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

April 7, 2026 - Present

ALPACA SECURITIES LLC

Office #1: 12 E 49th St. Floor 11, New York, NY 10017
BD
CRD#: 288202
NEW YORK, NY
Past

May 13, 2024 - March 17, 2026

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
CHICAGO, IL
Past

August 1, 2022 - April 9, 2024

MORGAN STANLEY

BD
CRD#: 149777
Chicago, IL
Past

August 7, 2017 - September 5, 2023

E*TRADE SECURITIES LLC

BD
CRD#: 29106
Chicago, IL
Past

August 31, 2016 - August 7, 2017

E*TRADE FUTURES LLC

BD
CRD#: 145562
CHICAGO, IL

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
Illinois
(4/7/2026)
RR
New York
(4/7/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/24/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC

Current Firm

AS
ALPACA SECURITIES LLC
ALPACA SECURITIES LLC

CRD#: 288202 / SEC#: , 8-69928

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
12 E 49th St. Floor 11, New York, NY 10017
Mailing Address
12 E 49th St. Floor 11, New York, NY 10017
Phone number
(941) 231-4093
Established
Delaware since 03/15/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALPACADB, INC.SOLE MEMBER
DIAZ, ZACHARY LUCIANOSR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER6027965
DUSSEAULT, DAVID STANLEYPRESIDENT AND COO2819891
GARZA, FELIPEAML COMPLIANCE OFFICER4613815
LEE, TONYGLOBAL HEAD OF BROKERAGE5618563
SAUGSTAD, MONIQUE DCHIEF COMPLIANCE OFFICER4127241
TAIFI, MEHDICHIEF RISK OFFICER5977322
WETTERWALD, TAMMY CAOCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP6113272

Disclosures

Regulatory Event1

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

ALPACA SECURITIES LLC

CRD#: 288202New York, NY 10017

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