DC
DC
Denise Carcel
42 Years of Experience
Newport Coast, CA
1 DisclosureBrokerSells Insurance
Denise Carcel is a registered investment advisor, based in Newport Coast, CA, with 42 years of industry experience.
Location
Newport Coast, CA
Get directionsHistory
Regulatory History (1)
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Customer Dispute
March 2009Denied
Other Business ActivitiesSells Insurance
Denise is an advisor and principal at Alpha Rising Advisors LLC, where she advises on investments, insurance, and estate planning. This takes nearly full-time hours.
Employment History
Current Registrations
The Leaders Group, INC.
December 2024 - Present · 1 yr 5 mos
The Leaders Group, INC.Broker
December 2024 - Present · 1 yr 5 mos
Alpha Rising Advisors LLC
June 2020 - Present · 5 yrs 11 mos
Previous Registrations
Creativeone Securities, LLCBroker
October 2020 - December 2024 · 4 yrs 2 mos
Equitable Advisors, LLC
December 2001 - August 2020 · 18 yrs 8 mos
Equitable Advisors, LLCBroker
December 2001 - August 2020 · 18 yrs 8 mos
Prudential Securities IncorporatedBroker
May 1998 - November 2001 · 3 yrs 6 mos
Royal Alliance Associates, INC.Broker
January 1995 - June 1998 · 3 yrs 5 mos
Corporate Benefit Securities, INC.Broker
January 1991 - January 1995 · 4 yrs
Corporate Benefit Securities, INC.Broker
October 1988 - December 1990 · 2 yrs 2 mos
Los Angeles SecuritiesBroker
September 1987 - September 1988 · 1 yr
Wedbush Securities, INC.Broker
June 1986 - September 1987 · 1 yr 3 mos
Viceroy International Securities CORP.Broker
June 1985 - July 1987 · 2 yrs 1 mo
Rooney, Pace INC.Broker
March 1984 - August 1984 · 5 mos
J. David Securities, INC.Broker
February 1984 - June 1984 · 4 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
July 1983 - January 1984 · 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1982 - June 1983 · 7 mos
State Registrations3 states
CANMWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.