Denise Pauline Carcel

Current Employers

Alpha Rising Advisors Llc

Newport Coast, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2020-06-30

CA RA
APPROVED

Since 2020-06-30

Branch Locations

Newport Coast, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	11/2001	06/2020
Equitable Advisors, Llc	New York	NY	12/2001	08/2020
Alpha Rising Advisors Llc	Newport Coast	CA	08/2020	Present
Client One Securities	Newport Coast	CA	10/2020	12/2024
The Leaders Group Inc	Littleton	CO	12/2020	Present

11/2001 → 06/2020

Axa Advisors, Llc

New York, NY
12/2001 → 08/2020

Equitable Advisors, Llc

New York, NY
08/2020 → Present

Alpha Rising Advisors Llc

Newport Coast, CA
10/2020 → 12/2024

Client One Securities

Newport Coast, CA
12/2020 → Present

The Leaders Group Inc

Littleton, CO

Previous Registrations

2001-12-31 → 2020-08-06

Equitable Advisors, Llc

Irvine, CA

Irvine, CA

Other Businesses

1.) ALPHA RISING ADVISORS LLC - 8/30/20 - 56 Sidney Bay Drive, Newport Coast, CA 92651 - Advisor/Principal - Advise on investments, insurance and estate planning, Invt Rel, RIA business, 150 hrs/mo; 125 hrs/mo (during trading hours).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-03-07
S63	Uniform Securities Agent State Law Examination	1983-11-08

S65 Uniform Investment Adviser Law Examination

1995-03-07
S63 Uniform Securities Agent State Law Examination

1983-11-08

View on SEC IAPD