Alana L. Pezzuti

RMC INVESTMENT ADVISORS

West Hartford, CT 06105

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CRD#: 6448025

Professional summary

Alana Lindsey Pezzuti, who also goes by Alana Lindsey Dipietro, is a registered financial advisor currently at RMC INVESTMENT ADVISORS located in West Hartford, Connecticut.

Alana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Alana has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alana Lindsey Dipietro

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 Alana Lindsey Pezzuti'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

June 25, 2019 - Present

RMC INVESTMENT ADVISORS

Office #1: 643 Prospect Avenue, West Hartford, CT 06105

RIA

CRD#: 104674

West Hartford, CT

Past

May 4, 2016 - April 18, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DARIEN, CT

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".

RMC INVESTMENT ADVISORS

RESOURCES MANAGEMENT CORP | RMC INVESTMENT ADVISORS

CRD#: 104674 / SEC#: 801-21902

RIA

Registered Investment Advisory firm - (8/24/1984 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
(6/25/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/31/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/2016

General Securities Representative Examination

Current Firm

RMC INVESTMENT ADVISORS

RESOURCES MANAGEMENT CORP | RMC INVESTMENT ADVISORS

CRD#: 104674 / SEC#: 801-21902

RIA

Registered Investment Advisory firm - (8/24/1984 Approved)

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Contact information

Main Address

643 Prospect Avenue, West Hartford, CT 06105

Mailing Address

Phone number

(860) 561-1245

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 - BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	852
AUM (Assets Under Management)	$ 986,774,418

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
10/27/2023	Cover Page	Report
11/18/2022	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.

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Alana L. Pezzuti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alana Lindsey Pezzuti's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

RMC INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2019

Series 63

Date: 3/31/2018

SIE

Date: 10/1/2018

Series 7

Date: 5/4/2016

Current Firm

RMC INVESTMENT ADVISORS

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RMC INVESTMENT ADVISORS

TRUST BUT VERIFY

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