David M. Cicco
Professional summary
David Michael Cicco is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2017. David has worked at 7 firms and has passed the Series 66, Series 63, Series 57TO, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Michael Cicco's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 16, 2025 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017September 17, 2024 - April 16, 2025
OSAIC INSTITUTIONS, INC.
July 5, 2024 - April 16, 2025
OSAIC INSTITUTIONS, INC.
July 15, 2022 - October 10, 2023
FORVIS MAZARS WEALTH ADVISORS, LLC
August 26, 2021 - August 24, 2022
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
August 5, 2019 - April 26, 2021
PEOPLE'S SECURITIES, INC.
October 30, 2017 - October 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 15, 2017 - April 28, 2017
T. ROWE PRICE INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/16/2025)
Exams
Series 57TO
Date: 10/10/2025
Securities Trader ExamSeries 7TO
Date: 10/1/2023
General Securities Representative ExaminationFINRA
Investors' Exchange LLC
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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