Ivan Reyes
Professional summary
Ivan Reyes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ivan is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Ivan had worked at 11 firms, which includes ALEXANDER CAPITAL L.P., CRAFT CAPITAL MANAGEMENT LLC, LEGEND SECURITIES INC., PHX FINANCIAL INC., VFINANCE INVESTMENTS INC, CHARLES MORGAN SECURITIES INC., BROOKVILLE CAPITAL PARTNERS, AVALON PARTNERS INC., GREAT EASTERN SECURITIES INC., NEW YORK GLOBAL SECURITIES INC., THINKEQUITY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2017 - November 27, 2017
ALEXANDER CAPITAL, L.P.
May 18, 2016 - December 13, 2016
CRAFT CAPITAL MANAGEMENT LLC
July 9, 2013 - July 1, 2015
LEGEND SECURITIES, INC.
February 4, 2013 - July 3, 2013
PHX FINANCIAL, INC.
November 1, 2010 - October 18, 2011
VFINANCE INVESTMENTS, INC
August 18, 2010 - November 18, 2010
CHARLES MORGAN SECURITIES, INC.
April 27, 2009 - August 19, 2009
BROOKVILLE CAPITAL PARTNERS
February 1, 2007 - January 2, 2009
AVALON PARTNERS, INC.
December 2, 2004 - January 22, 2007
GREAT EASTERN SECURITIES, INC.
February 27, 2004 - December 15, 2004
NEW YORK GLOBAL SECURITIES, INC.
October 24, 2003 - February 25, 2004
THINKEQUITY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENA MANAGEMENT LLC | PARTNER | |
| JSEC INC | PARTNER | |
| SALKIND, CATHERINE P | PARTNER | 7021439 |
| RUGGIERE, JOSEPH MATTHEW | PARTNER | 2548108 |
| RUGGIERE, WAYNE NMN | PARTNER | 7200730 |
| SALKIND, GENE Z | PARTNER | 7021417 |
| AMATO, JOSEPH ANTHONY | CEO | 2751635 |
| ELDREDGE, MICHAEL WILLIAM | BRANCH MANAGER ATL OFFICE | 2903014 |
| FAUCI, JODI | GENERAL SECS PRINCIPAL | 4189732 |
| FEMIANO, JOHN FRANCIS | GENERAL SECS PRINCIPAL, ANNUUITIES PRINCIPAL | 2132030 |
| FRANCONE, VITO ANTONIO II | COMPLIANCE ASSOCIATE | 2349326 |
| GUIDICIPIETRO, ROCCO GERARD | COO | 2489732 |
| KRISPEAL, RAQUEL E | SENIOR COMPLIANCE OFFICER, BRANCH MANAGER | 5733217 |
| MARTORANO, CARL MARIO | BRANCH MANAGER/OPERATIONS MANAGER/ROSFP | 2286051 |
| MESSINA, PAUL MICHAEL | GENERAL SECS PRINCIPAL, ROSFP, CO-MSRB PRINCIPAL | 5897543 |
| MISITI, MICHELE ANN | CHIEF COMPLIANCE OFFICER - ROSFP - AML OFFICER | 1931272 |
| ROTH, BARBARA NMN | PARTNER | 7200728 |
| SKOVRONCK, JEANPAUL CHARLES | DESIGNATED SUPERVISOR, DEPUTY AML OFFICER | 2744738 |
| STACK, TIMOTHY | SENIOR COMPLIANCE OFFICER | 1426363 |
| STAFFORD, LAWRENCE ROBERT | CHIEF TECHNOLOGY OFFICER | 7046577 |
| SULLIVAN, THOMAS FRANCIS | FINOP/CHIEF FINANCIAL OFFICER/CO-MSRB PRINCIPAL | 1145000 |
| THE SALKIND FAMILY FOUNDATION | PARTNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
