Joseph Anthony Amato
Professional Summary
Joseph Anthony Amato is a registered financial advisor currently at ALEXANDER CAPITAL WEALTH MANAGEMENT LLC located in Staten Island, New York and ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey. Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 31, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | PIVOT PROFESSIONAL PARTNERS | MEDAX CAPITAL | LCORE WEALTH MANAGEMENT LLC | AXIO WEALTH STRATEGIES | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.
Contact Information
Main Address
10 Drs. James Parker Blvd Suite 202, Red Bank, NJ 07701Phone Number
(212) 687-5650# of Employees
36SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,051AUM (Assets Under Management)
$238,078,668Similar Advisors
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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.
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Primary Firm SEC Registration
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | PIVOT PROFESSIONAL PARTNERS | MEDAX CAPITAL | LCORE WEALTH MANAGEMENT LLC | AXIO WEALTH STRATEGIES | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.
State Registrations and Notice Filings
(7/20/2015)
(12/13/2018)
(3/18/2013)
(4/1/2015)
(7/19/2013)
(12/12/2013)
(5/17/2013)
(1/2/2013)
(4/18/2021)
(3/31/2014)
(3/12/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2002About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Amato's CRS (Customer Relationship Summary).
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