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JA

Joseph Anthony Alagna Jr

JOSEPH GUNNAR & CO.

NEW YORK, NY

·CRD# 1840339·38 years experience

Professional Summary

Joseph Anthony Alagna JR is a registered financial advisor currently at JOSEPH GUNNAR & CO. LLC located in New York, New York. Joseph is registered as a RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

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Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years in the financial services industry

Current & Past Employments

JOSEPH GUNNAR & CO. LLC·CRD# 24795

BD

1. 40 Wall Street Suite 3004, New York, NY 100052. 1000 Rxr Plaza, Uniondale, NY 11556

November 21, 1997 - Present

JOSEPH GUNNAR & CO. LLC·CRD# 24795

RIA

Uniondale, NY

October 26, 2018 - March 23, 2026

FIRST ASSET MANAGEMENT, INC.·CRD# 17341

BD

Garden City, NY

October 15, 1990 - November 26, 1997

THE STUART-JAMES COMPANY, INCORPORATED·CRD# 11691

BD

Denver, CO

July 19, 1988 - October 25, 1990

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Current Firm

JG

JOSEPH GUNNAR & CO. LLC

AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

BD

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

1000 Rxr Plaza 10th Floor, Uniondale, NY 11556

Mailing Address

1000 Rxr Plaza, Uniondale, NY 11556

Phone Number

(212) 440-9600

Established

Delaware since 08/07/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

50

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

JOSEPH GUNNAR & CO., LLC ADV BROCHURE (4/23/2025)

JOSEPH GUNNAR WRAP FEE PROGRAM BROCHURE (4/23/2025)

Direct owners and executive officers

Name	Position	CRD#
JOSEPH GUNNAR HOLDING CO., LLC.	OWNER	—
ALAGNA, JOSEPH ANTHONY JR	CHAIRMAN	1840339
COLOMBO, DOUGLAS	PRINCIPAL OPERATIONS OFFICER	1858351
HODGE, WILLIAM PAUL	CHIEF COMPLIANCE OFFICER / AMLCO	1950852
SINGER, STEVEN FREDERIC	FINOP	2360737
STEIN, STEPHAN ALAN	PRESIDENT, CEO	3238494

Regulatory Assets Under Management

Total Number of Accounts

68

AUM (Assets Under Management)

$33,967,899

Disclosures

Regulatory Event

5

Arbitration

13

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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.

1. NAME OF BUSINESS: BUTTONWOOD GROUP ADVISORS LLC, INVESTMENT RELATED: YES, ADDRESS: 1000 RXR PLAZA, UNIONDALE, NY 11556, NATURE OF BUSINESS: VENTURE FUND/ ADVISOR OF FUNDS, POSITION/ TITLE: OWNER/ MANAGER, START DATE: 2011, HOURS/ MONTH DEVOTED: 40, HOURS DEVOTED DURING BUSINESS HOURS: 20, DESCRIBE DUTIES: ADVISE BUTTONWOOD FUNDS/ ADMIN OVERSIGHT.; 2. NAME OF BUSINESS: BG BLUE FIN LLC, INVESTMENT RELATED: NO, ADDRESS: C/O 1000 RXR PLAZA, UNIONDALE, NY 11556, NATURE OF BUSINESS: PASS-THROUGH DORMANT VEHICLE FORMED TO RECEIVE POTENTIAL CARRIED INTERESTS EARNED FROM BUTTONWOOD GROUP ADVISORS, POSITION/ TITLE: MANAGING MEMBER, START DATE: 2023, HOURS/ MONTH DEVOTED: 0, HOURS DEVOTED DURING BUSINESS HOURS: 0, DESCRIBE DUTIES: NONE.; 3. NAME OF BUSINESS: JGJO DEVELOPMENT CO., LLC, INVESTMENT RELATED: NO, ADDRESS: C/O 1000 RXR PLAZA, UNIONDALE, NY 11556, NATURE OF BUSINESS: AROOGA'S GRILLE HOUSE & SPORTS BAR FRANCHISEE, POSITION/ TITLE: CO-OWNER, START DATE: 2015, HOURS/ MONTH DEVOTED: 0- 20, HOURS DEVOTED DURING BUSINESS HOURS: 0- 10, DESCRIBE DUTIES: ADMIN OVERSIGHT.; 4. NAME OF BUSINESS: JAG UNIT 1, INVESTMENT RELATED: NO, ADDRESS: C/O 1000 RXR PLAZA, UNIONDALE, NY 11556, NATURE OF BUSINESS: LESSEE OF PATCHOGUE, NY AROOGA'S GRILLE HOUSE & SPORTS BAR FRANCHISE, POSITION/ TITLE: LESSEE, START DATE: 2017, HOURS/ MONTH DEVOTED: 0- 20, HOURS DEVOTED DURING BUSINESS HOURS: 0- 10, DESCRIBE DUTIES: ADMIN OVERSIGHT.; 5. NAME OF BUSINESS: BAY WINDS GROUP LLC, NOT INVESTMENT RELATED, CURRENTLY INACTIVE.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(6/20/2003)

RR

Alaska
(1/13/2004)

RR

Arizona
(12/5/2002)

RR

California
(1/16/1998)

RR

Colorado
(4/1/2003)

RR

Connecticut
(11/11/2002)

RR

Delaware
(5/2/2008)

RR

District of Columbia
(11/18/2002)

RR

Florida
(11/14/2002)

RR

Georgia
(11/13/2002)

RR

Idaho
(4/29/2008)

RR

Illinois
(11/13/2002)

RR

Indiana
(11/27/2002)

RR

Iowa
(6/1/2006)

RR

Kansas
(4/4/2006)

RR

Kentucky
(12/5/2002)

RR

Louisiana
(11/12/2002)

RR

Maine
(2/6/2003)

RR

Maryland
(11/12/2002)

RR

Massachusetts
(11/26/2002)

RR

Michigan
(11/12/2002)

RR

Minnesota
(11/18/2002)

RR

Missouri
(5/1/2008)

RR

Montana
(4/30/2008)

RR

Nebraska
(11/12/2002)

RR

Nevada
(11/27/2002)

RR

New Hampshire
(5/27/2008)

RR

New Jersey
(12/17/1997)

RR

New Mexico
(11/13/2002)

RR

New York
(12/12/1997)

RR

North Carolina
(11/13/2002)

RR

Ohio
(12/9/2002)

RR

Oklahoma
(8/29/2013)

RR

Oregon
(11/18/2002)

RR

Pennsylvania
(12/5/2002)

RR

Puerto Rico
(9/24/2014)

RR

Rhode Island
(11/12/2002)

RR

South Carolina
(5/7/2008)

RR

Tennessee
(7/6/2022)

RR

Texas
(1/3/2003)

RR

Utah
(11/13/2002)

RR

Virginia
(11/12/2002)

RR

Washington
(11/15/2002)

RR

West Virginia
(7/25/2011)

RR

Wisconsin
(11/12/2002)

RR

Wyoming
(9/10/2013)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1988About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1988About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1994About the Series 24 exam

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Joseph Anthony Alagna JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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JA

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