Joseph A. Alagna

JOSEPH GUNNAR & CO. LLC

New York, NY 10005

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CRD#: 1840339

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 an IAR (Investment Advisor Representative) and 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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph Anthony Alagna 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

October 26, 2018 - Present

JOSEPH GUNNAR & CO. LLC

Office #1: 40 Wall Street Suite 3004, New York, NY 10005Office #2: 1000 Rxr Plaza 10th Floor, Uniondale, NY 11556

RIA

CRD#: 24795

New York, NY

Current

November 21, 1997 - Present

JOSEPH GUNNAR & CO. LLC

Office #1: 40 Wall Street Suite 3004, New York, NY 10005Office #2: 1000 Rxr Plaza, Uniondale, NY 11556

RIA

CRD#: 24795

New York, NY

Past

October 15, 1990 - November 26, 1997

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

July 19, 1988 - October 25, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

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

RIA

Registered Investment Advisory firm - SEC (5/4/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/20/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(6/20/2003)

Alaska
(1/13/2004)

Arizona
(12/5/2002)

California
(1/16/1998)

IAR

California
(10/26/2018)

Colorado
(4/1/2003)

Connecticut
(11/11/2002)

Delaware
(5/2/2008)

District of Columbia
(11/18/2002)

Florida
(11/14/2002)

Georgia
(11/13/2002)

Idaho
(4/29/2008)

Illinois
(11/13/2002)

Indiana
(11/27/2002)

Iowa
(6/1/2006)

Kansas
(4/4/2006)

Kentucky
(12/5/2002)

Louisiana
(11/12/2002)

Maine
(2/6/2003)

Maryland
(11/12/2002)

Massachusetts
(11/26/2002)

Michigan
(11/12/2002)

Minnesota
(11/18/2002)

Missouri
(5/1/2008)

Montana
(4/30/2008)

Nebraska
(11/12/2002)

Nevada
(11/27/2002)

New Hampshire
(5/27/2008)

New Jersey
(12/17/1997)

New Mexico
(11/13/2002)

New York
(12/12/1997)

North Carolina
(11/13/2002)

Ohio
(12/9/2002)

Oklahoma
(8/29/2013)

Oregon
(11/18/2002)

Pennsylvania
(12/5/2002)

Puerto Rico
(9/24/2014)

Rhode Island
(11/12/2002)

South Carolina
(5/7/2008)

Tennessee
(7/6/2022)

Texas
(1/3/2003)

Utah
(11/13/2002)

Virginia
(11/12/2002)

Washington
(11/15/2002)

West Virginia
(7/25/2011)

Wisconsin
(11/12/2002)

Wyoming
(9/10/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/3/1994

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

RIA

Registered Investment Advisory firm - SEC (5/4/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/20/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

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

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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

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

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, CEO	1840339
COLOMBO, DOUGLAS	PRINCIPAL OPERATIONS OFFICER	1858351
HODGE, WILLIAM PAUL	CHIEF COMPLIANCE OFFICER / AMLCO	1950852
SINGER, STEVEN FREDERIC	FINOP	2360737
STEIN, STEPHAN A	PRESIDENT	3238494

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 33,967,899

Disclosures

Regulatory Event	5
Arbitration	13

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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Advisor Monitoring

Firm Stability Insights

Joseph A. Alagna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

JOSEPH GUNNAR & CO. LLC

FIRST ASSET MANAGEMENT, INC.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

JOSEPH GUNNAR & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/1988

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1988

Series 24

Date: 5/3/1994

FINRA

Nasdaq Stock Market

Current Firm

JOSEPH GUNNAR & CO. LLC

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

JOSEPH GUNNAR & CO. LLC

TRUST BUT VERIFY

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