Thomas F. Paolozzi

ALEXANDER CAPITAL ADVISORS

NEW CANAAN, CT 06840

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CRD#: 2201791

Professional summary

Thomas Franklin Paolozzi III, who also goes by Thomas Franklin Paolozzi, is a registered financial advisor currently at ALEXANDER CAPITAL ADVISORS, LLC located in New Canaan, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Thomas has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Franklin Paolozzi

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) - RIA

Click below to view Thomas Franklin Paolozzi III'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

May 16, 2006 - Present

ALEXANDER CAPITAL ADVISORS, LLC

Office #1: 125 Elm Street, New Canaan, CT 06840

RIA

CRD#: 140508

NEW CANAAN, CT

Past

November 18, 2002 - May 17, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

STAMFORD, CT

Past

November 18, 2002 - May 17, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

STAMFORD, CT

Past

June 9, 1998 - December 2, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GREENWICH, CT

Past

March 10, 1998 - December 2, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 31, 1993 - March 24, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 22, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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 ADVISORS, LLC

ALEXANDER CAPITAL ADVISOR, LLC | ALEXANDER CAPITAL ADVISORS, LLC

CRD#: 140508 / SEC#: 801-131809

RIA

Registered Investment Advisory firm - (1/13/2025 Approved)

Connecticut

Registered Investment Advisory firm - (1/24/2025 Terminated)

Florida

Registered Investment Advisory firm - (7/13/2020 Terminated)

Illinois

Registered Investment Advisory firm - (6/26/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (11/18/2020 Terminated)

New York

Registered Investment Advisory firm - (7/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/13/2020 Terminated)

Virginia

Registered Investment Advisory firm - (7/14/2020 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.

IAR

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

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/16/2006)

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: 12/17/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1992

General Securities Representative Examination

Current Firm

ALEXANDER CAPITAL ADVISORS, LLC

ALEXANDER CAPITAL ADVISOR, LLC | ALEXANDER CAPITAL ADVISORS, LLC

CRD#: 140508 / SEC#: 801-131809

RIA

Registered Investment Advisory firm - (1/13/2025 Approved)

Connecticut

Registered Investment Advisory firm - (1/24/2025 Terminated)

Florida

Registered Investment Advisory firm - (7/13/2020 Terminated)

Illinois

Registered Investment Advisory firm - (6/26/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (11/18/2020 Terminated)

New York

Registered Investment Advisory firm - (7/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/13/2020 Terminated)

Virginia

Registered Investment Advisory firm - (7/14/2020 Terminated)

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Contact information

Main Address

125 Elm Street, New Canaan, CT 06840-0201

Mailing Address

Phone number

(203) 966-7707

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALEXANDER CAPITAL ADVISORS, LLC - BROCHURES (3/13/2025)

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 93,321,000

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

Thomas F. Paolozzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Franklin Paolozzi III's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ALEXANDER CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1992

Series 63

Date: 1/30/1992

Series 7

Date: 1/20/1992

Current Firm

ALEXANDER CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALEXANDER CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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