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Garrett D’Alessandro Subject of SEC Investigation

Dec 31, 2021 Regulatory Action

Garrett D’Alessandro (CRD #: 1910929), a broker registered with Symphonic Securities and CNR Securities, is the subject of an SEC investigation, according to his BrokerCheck Record accessed on December 8, 2021. Garrett D’Alessandro is also an investment advisor registered with Symphonic Financial Advisors and City National Rochdale. 

SEC Allegations 

According to the SEC allegations initiated on October 5, 2021, Garrett D’Alessandro is under investigation for violating the Investment Advisers Act of 1940. The nature of the violations has not been provided. 

The Investment Advisers Act of 1940 is a law that regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors. 

Background Information 

Garrett D’Alessandro has passed the following exams: 

  • Series 63 – Uniform Securities Agent State Law Examination 
  • Series 65 – Uniform Investment Adviser Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 87 – Research Analyst Exam – Part II Regulations Module 
  • Series 55 – Limited Representative-Equity Trader Exam 
  • Series 7 – General Securities Representative Examination 
  • Series 24 – General Securities Principal Examination 

He is a registered broker in 49 states. He is also a registered investment advisor in California, D.C., Florida, New York, and Texas.  

 Garrett D’Alessandro has also worked with:   

  • Rochdale Securities (CRD#:6863) 

Kurta Law Can Help  

If Garrett D’Alessandro has victimized you, don’t hesitate to contact us today at 877-600-0098 or for a free consultation.  

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.