Alison C. Difonzo

BRECKINRIDGE CAPITAL ADVISORS

BOSTON, MA 02110-1529

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CRD#: 6904456

Professional summary

Alison Catherine Difonzo, who also goes by Ali Difonzo, Alison Difonzo, is a registered financial advisor currently at BRECKINRIDGE CAPITAL ADVISORS INC located in Boston, Massachusetts.

Alison is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Alison has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ali Difonzo | Alison Difonzo

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 Alison Catherine Difonzo'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 8, 2022 - Present

BRECKINRIDGE CAPITAL ADVISORS INC

Office #1: 125 High Street Suite 431, Boston, MA 02110-1529

RIA

CRD#: 107143

BOSTON, MA

Past

May 22, 2018 - May 13, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWTON, MA

Past

April 16, 2018 - May 13, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWTON, MA

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".

BRECKINRIDGE CAPITAL ADVISORS INC

CRD#: 107143 / SEC#: 801-43833

RIA

Registered Investment Advisory firm - (4/29/1993 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

Massachusetts
(6/8/2022)

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 66

Date: 5/21/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2018

General Securities Representative Examination

Current Firm

BRECKINRIDGE CAPITAL ADVISORS INC

CRD#: 107143 / SEC#: 801-43833

RIA

Registered Investment Advisory firm - (4/29/1993 Approved)

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Contact information

Main Address

125 High Street Suite 431, Boston, MA 02110-1529

Mailing Address

Phone number

(617) 443-0779

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRECKINRIDGE CAPITAL ADVISORS FORM ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	18,559
AUM (Assets Under Management)	$ 50,989,726,048

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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Alison C. Difonzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alison Catherine Difonzo's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRECKINRIDGE CAPITAL ADVISORS INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BRECKINRIDGE CAPITAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/21/2018

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2018

Current Firm

BRECKINRIDGE CAPITAL ADVISORS INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRECKINRIDGE CAPITAL ADVISORS INC

TRUST BUT VERIFY

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