Alexander Cipollone
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.
Alexander Cipollone, who also goes by Al Cipollone, Alex Cipollone, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1975. Alexander had worked at 10 firms and has passed the Series 63, SIE, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 1, 1995 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 11, 1994 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 20, 1993 - November 11, 1994
WS GRIFFITH SECURITIES, INC.
April 6, 1992 - December 22, 1993
CUE FINANCIAL GROUP, INC.
June 18, 1989 - April 3, 1992
SUNAMERICA SECURITIES, INC.
August 17, 1984 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
September 3, 1982 - August 28, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 17, 1975 - August 29, 1990
OSAIC FA, INC.
September 17, 1975 - February 14, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 1
Date: 9/11/1975
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
