Denise P. Carcel
Professional summary
Denise Pauline Carcel is a registered financial advisor currently at ALPHA RISING ADVISORS LLC located in Newport Coast, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Denise is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Denise has worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Denise Pauline Carcel's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2020 - Present
ALPHA RISING ADVISORS LLC
December 20, 2024 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901October 2, 2020 - December 13, 2024
CREATIVEONE SECURITIES, LLC
December 31, 2001 - August 6, 2020
EQUITABLE ADVISORS, LLC
December 3, 2001 - August 6, 2020
EQUITABLE ADVISORS, LLC
May 22, 1998 - November 27, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 16, 1995 - June 2, 1998
OSAIC WEALTH, INC.
January 29, 1991 - January 17, 1995
CORPORATE BENEFIT SECURITIES, INC.
October 5, 1988 - December 8, 1990
CORPORATE BENEFIT SECURITIES, INC.
September 14, 1987 - September 27, 1988
LOS ANGELES SECURITIES
June 25, 1986 - September 21, 1987
WEDBUSH SECURITIES INC.
June 17, 1985 - July 23, 1987
VICEROY INTERNATIONAL SECURITIES CORP.
March 29, 1984 - August 10, 1984
ROONEY, PACE INC.
February 1, 1984 - June 6, 1984
J. DAVID SECURITIES, INC.
July 5, 1983 - January 30, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 23, 1982 - June 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2020)
(12/20/2024)
(12/20/2024)
(12/20/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
ALPHA RISING ADVISORS LLC
CRD#: 307413 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 46 |
| AUM (Assets Under Management) | $ 24,000,000 |
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