Douglas J. Preveza

GALAXY SECURITIES

NEW YORK, NY 10282

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CRD#: 2692333

Professional summary

Douglas John Preveza is a registered financial professional currently at GALAXY SECURITIES, LLC located in New York, New York and FDX CAPITAL LLC located in New York, New York.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1996. Douglas has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, 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) - BD

Click below to view Douglas John Preveza's 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

September 12, 2025 - Present

GALAXY SECURITIES, LLC

Office #1: 300 Vesey Street 13th Floor, New York, NY, 10282

CRD#: 330599

NEW YORK, NY

Current

October 10, 2025 - Present

FDX CAPITAL LLC

Office #1: 515 Madison Avenue 24th Floor, New York, NY, 10022

CRD#: 119302

New York, NY

Past

April 12, 2023 - August 9, 2024

OASIS PRO MARKETS LLC

CRD#: 149420

STAMFORD, CT

Past

October 6, 2021 - October 24, 2022

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

June 22, 2021 - July 23, 2021

ICV GROUP, INC.

CRD#: 294024

NEW YORK, NY

Past

September 10, 2018 - July 19, 2019

DOCK SQUARE SECURITIES , LLC

CRD#: 290750

Coral Gables, FL

Past

June 29, 2016 - August 15, 2019

LGA CAPITAL

CRD#: 282415

ROCKVILLE, MD

Past

August 10, 2012 - March 4, 2016

OSAIC INSTITUTIONS, INC.

CRD#: 35371

MERIDEN, CT

Past

February 25, 2004 - April 15, 2004

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

June 12, 2000 - November 17, 2003

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

March 13, 1997 - June 5, 2000

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

July 9, 1996 - March 18, 1997

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

State Registrations and Notice Filings

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

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

Connecticut
(10/14/2025)

Exams

State Security Law Exam

Series 63

Date: 2/13/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 4/12/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 3/17/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/19/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FDX CAPITAL LLC

DOUGLAS FINANCIAL LLC | FDX CAPITAL LLC

CRD#: 119302 / SEC#: , 8-65170

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

515 Madison Avenue 24th Floor, New York, NY, 10022

Mailing Address

515 Madison Avenue 24th Floor, New York, NY, 10022

Phone number

(888) 814-8180

Established

New Jersey since 10/10/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JAMES ALPHA HOLDINGS, LLC	MANAGING MEMBER
GREENE, KEVIN ROBERT	CEO	1295699
MONTAGUE, MICHAEL	OPERATIONS OFFICER	5121305
PREVEZA, DOUGLAS JOHN	CHIEF COMPLIANCE OFFICER	2692333
SMITH, ELIZABETH ANNE	FINOP/PRINCIPAL FINANCIAL OFFICER	1960549

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Douglas J. Preveza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas John Preveza's CRS (Customer Relationship Summary).

Certified licenses

Experience

FDX CAPITAL LLC

OASIS PRO MARKETS LLC

COMMONWEALTH FINANCIAL NETWORK

ICV GROUP, INC.

DOCK SQUARE SECURITIES , LLC

LGA CAPITAL

OSAIC INSTITUTIONS, INC.

COMMONWEALTH FINANCIAL NETWORK

NATIONAL FINANCIAL SERVICES LLC

INVESTORS CAPITAL CORP.

QUEST CAPITAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/13/2017

Series 99TO

Date: 4/12/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/8/1996

Series 14

Date: 1/2/2023

Series 4

Date: 3/17/1998

Series 24

Date: 6/19/1997

FINRA

Current Firm

FDX CAPITAL LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FDX CAPITAL LLC

TRUST BUT VERIFY

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