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AA

Alfonso A. Alejo

PALLADIUM CAPITAL GROUP
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 1545682
AA

Professional summary

Alfonso Antonio Alejo JR, who also goes by Alfonso Alejo, Fonz Alejo, is a registered financial professional currently at PALLADIUM CAPITAL GROUP, LLC located in New York, New York.

Alfonso is registered as a RR (Registered Representative) and started their career in finance in 1987. Alfonso has worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alfonso Alejo | Fonz Alejo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alfonso Antonio Alejo JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 14, 2015 - Present

PALLADIUM CAPITAL GROUP, LLC

Office #1: 152 West 57th Floor 24, New York, NY 10019
BD
CRD#: 129400
NEW YORK, NY
Past

January 18, 2007 - November 7, 2014

CATO CAPITAL, LLC

BD
CRD#: 133142
NEW YORK, NY
Past

July 25, 1987 - June 28, 1988

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Delaware
(1/9/2019)
RR
Florida
(10/18/2016)
RR
Illinois
(12/1/2016)
RR
Maryland
(11/10/2020)
RR
New York
(1/29/2015)
RR
North Carolina
(11/15/2023)
RR
Ohio
(5/13/2019)
RR
Texas
(1/7/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 2/9/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/3/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 12/16/1986
Interest Rate Options Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PALLADIUM CAPITAL GROUP, LLC
PALLADIUM CAPITAL ADVISORS CORP. | PALLADIUM CAPITAL GROUP, LLC | PALLADIUM CAPITAL ADVISORS, LLC

CRD#: 129400 / SEC#: , 8-66223

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
152 West 57th Floor 24, New York, NY 10019
Mailing Address
P O Box 5, Poolesville, MD 20837
Phone number
(617) 271-6736
Established
Delaware since 05/13/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KURLAND, AKIVA JOSEPHMEMBER5366252
LAZARUS, MARILYN NMIMEMBER5447746
LAZARUS, NORMAN MICHAELMEMBER7172324
PADOWITZ, JOEL EUGENMEMBER4725316
MOCH, TAMARA ROSALIEMEMBER7172315
BUCKLEY, ANNE PAULCHIEF COMPLIANCE OFFICER1781079
MEDREZ, NATANPARTIAL OWNER4792730
PALLADIUM HOLDINGS, LLCPARTIAL OWNER
ROOZ, EFRAIMPARTIAL OWNER5823833
SLOVIN, MARK ADAMCHIEF FINANCIAL OFFICER AND FINOP6786999
WEINBERG, ILAN JOSHUAPARTIAL OWNER2354293

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PALLADIUM CAPITAL GROUP, LLC

CRD#: 129400New York, NY 10019

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