John M. Columbia

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CRD#: 2194537

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.

John Michael Columbia was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1992. John had worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

April 18, 2017 - March 18, 2022

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

RIA

CRD#: 157714

FREEHOLD, NJ

Past

August 11, 2015 - March 18, 2022

ALEXANDER CAPITAL, L.P.

CRD#: 40077

NEW YORK, NY

Past

April 13, 2015 - September 28, 2015

LEGEND FINANCIAL MANAGEMENT

RIA

CRD#: 120978

FREEHOLD, NJ

Past

January 23, 2009 - August 11, 2015

LEGEND SECURITIES, INC.

CRD#: 44952

FREEHOLD, NJ

Past

January 10, 2006 - January 16, 2009

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

STATEN ISLAND, NY

Past

July 22, 1997 - April 28, 2005

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

May 24, 1996 - August 12, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

September 19, 1995 - June 13, 1996

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

March 8, 1994 - October 18, 1995

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

Past

September 25, 1992 - March 23, 1994

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

Past

August 6, 1992 - September 30, 1992

F.N. WOLF & CO., INC.

CRD#: 13051

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".

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

CRD#: 157714 / SEC#: 801-112997

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Arkansas

Registered Investment Advisory firm - (5/15/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (6/20/2018 Terminated)

New York

Registered Investment Advisory firm - (5/15/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/22/2018 Terminated)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/13/1999

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

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/18/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/1998

General Securities Principal Examination

Current Firm

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

CRD#: 157714 / SEC#: 801-112997

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Arkansas

Registered Investment Advisory firm - (5/15/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (6/20/2018 Terminated)

New York

Registered Investment Advisory firm - (5/15/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

10 Drs. James Parker Blvd Suite 202, Red Bank, NJ 07701

Mailing Address

Phone number

(212) 687-5650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALEXANDER CAPITAL WEALTH MANAGEMENT, LLC FIRM BROCHURE (3/11/2025)

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC APPENDIX 1 (3/11/2025)

Regulatory assets under management

Total Number of Accounts	999
AUM (Assets Under Management)	$ 212,106,766

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

John M. Columbia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

ALEXANDER CAPITAL, L.P.

LEGEND FINANCIAL MANAGEMENT

LEGEND SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

J.P. TURNER & COMPANY, L.L.C.

ARGENT SECURITIES, INC.

COMMONWEALTH ASSOCIATES

LCP CAPITAL CORP.

HIBBARD BROWN & CO., INC.

F.N. WOLF & CO., INC.

Primary Firm SEC Registration

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2015

Series 63

Date: 1/13/1999

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/4/1998

Series 4

Date: 3/18/2006

Series 24

Date: 6/22/1998

Current Firm

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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