Julian L. Alfonso

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CRD#: 1801087

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Julian Luis Alfonso, who also goes by Julian L Alfonso, was a registered financial professional .

Julian is a previously registered financial professional and started their career in finance in 1989. Julian had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 27 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Julian L Alfonso

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 31, 2007 - January 26, 2009

PHX FINANCIAL, INC.

CRD#: 144403

NEW YORK, NY

Past

June 27, 2005 - April 30, 2015

MARTINEZ-AYME SECURITIES

CRD#: 109838

MIAMI, FL

Past

May 29, 2002 - July 22, 2003

CP CAPITAL SECURITIES

CRD#: 15029

MIAMI, FL

Past

August 10, 2001 - October 31, 2001

CP CAPITAL SECURITIES

CRD#: 15029

MIAMI, FL

Past

August 6, 2001 - March 21, 2002

MARTINEZ-AYME SECURITIES

CRD#: 109838

MIAMI, FL

Past

September 28, 2000 - July 2, 2001

NORTHRIDGE CAPITAL CORPORATION

CRD#: 16467

MELVILLE, NY

Past

May 15, 2000 - August 31, 2000

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

Past

July 20, 1998 - May 12, 2000

FIRST EQUITY CORPORATION OF FLORIDA

CRD#: 9

MIAMI, FL

Past

July 22, 1997 - July 6, 1998

R.K. GRACE & COMPANY

CRD#: 35203

MIAMI, FL

Past

May 15, 1996 - July 21, 1997

FIRST EQUITY CORPORATION OF FLORIDA

CRD#: 9

MIAMI, FL

Past

April 18, 1989 - May 25, 1995

FIRST EQUITY CORPORATION OF FLORIDA

CRD#: 9

MIAMI, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/5/1996

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 28

Date: 9/11/1991

Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

PHX FINANCIAL, INC.

BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

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

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Contact information

Main Address

100 Wall Street Floor 10, New York, NY 10005

Mailing Address

100 Wall Street Floor 10, New York, NY 10005

Phone number

(212) 776-4187

Established

Florida since 12/27/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LP	PARENT OF BROKER DEALER
CHEN, KEVIN	CEO	4871316
GILMAN, ROBERT CRAIG	FINOP - PFO	1738412
MONTANA, JOSEPH RYAN	ROSFP, MSRB PRINCIPAL	5640919
OTOYA, DANIEL ORLANDO	CHIEF COMPLIANCE OFFICER	2208241

Disclosures

Regulatory Event	4
Arbitration	2

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.

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Firm Stability Insights

Julian L. Alfonso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARTINEZ-AYME SECURITIES

CP CAPITAL SECURITIES

CP CAPITAL SECURITIES

MARTINEZ-AYME SECURITIES

NORTHRIDGE CAPITAL CORPORATION

STANFORD GROUP COMPANY

FIRST EQUITY CORPORATION OF FLORIDA

R.K. GRACE & COMPANY

FIRST EQUITY CORPORATION OF FLORIDA

FIRST EQUITY CORPORATION OF FLORIDA

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/1997

SIE

Date: 4/30/2015

Series 7

Date: 4/15/1989

Series 24

Date: 8/27/1997

Series 27

Date: 7/5/1996

Series 28

Date: 9/11/1991

Current Firm

PHX FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHX FINANCIAL, INC.

TRUST BUT VERIFY

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