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FIRM PROFILE
Overview
ALPACA SECURITIES LLC is located at 12 E 49th St. Floor 11, New York, NY 10017 and was first established at New York, Delaware in 03/15/2017. After operating for 8 years, ALPACA SECURITIES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of ALPACA SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. ALPACA SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at ALPACA SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access ALPACA SECURITIES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at ALPACA SECURITIES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for ALPACA SECURITIES LLC Comes From
Understanding the Statistics for ALPACA SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
12 E 49th St. Floor 11, New York, NY 10017
12 E 49th St. Floor 11, New York, NY 10017
Small
(941) 231-4093
Delaware since 03/15/2017
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at ALPACA SECURITIES LLC
Louis Vetter
Denise Kathleen Steffel
Matthew Weston
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