JA
Joseph A. Amato
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
Staten Island, NY 10307
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CRD#: 2751635
JA
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, Series 14, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) NESA MANAGEMENT LLC - 5379 ARTHUR KILL RD STATEN ISLAND, NY 10307- - A HOLDING COMPANY FORMED SEPTEMBER 2012 MANAGING MEMBER OPERATES OUTSIDE OF MARKET HOURS DEVOTES 1 HOUR PER MONTH. 2) ALEXANDER CAPITAL WEALTH MANAGEMENT LLC - 10 DR JAMES PARKER BLVD , RED BANK NJ 07701 STE 202 - OWNER/PARTNER, OPERATIONAL APRIL 2014 DEVOTES 5 HOURS PER MONTH. COMPENSATION IN THE FORM OF PROFITS. 3) ALEXANDER CAPITAL INSURANCE AGENCY LLC - 10 DR JAMES PARKER BLVD , RED BANK NJ 07701 STE 202 - OWNER/PARTNER -OPERATIONAL APRIL 2014 DEVOTES 5 HOURS PER MONTH, COMPENSATION IN THE FORM OF PROFITS. 4) ALEXANDER CAPITAL VENTURES MGT CO (20% TIME DURING MARKET HRS)-COMP IN FORM OF commissions-stock-warrants - 5379 ARTHUR KILL RD STATEN ISLAND, NY 10307 - (INVESTMENT RELATED). 5) ALEXANDER CAPITAL VENTURES(20% TIME DURING MARKET HRS)-COMP IN FORM OF commissions-stock-warrants - 5379 ARTHUR KILL RD STATEN ISLAND, NY 10307 - (INVESTMENT RELATED). 6) SANE MANAGEMENT LLC, REAL ESTATE HOLDING CO. - 11834 CR 101, Suite 203 | The Villages, FL 32162- NON-INVESTMENT RELATED (1-20% TIME DURING MKT HRS) COMPENSATION IN THE FORM OF SALE OR RENTAL 7) SENA MANAGEMENT LLC, HOLDING CO. OWNER/SHAREHOLDER 5379 ARTHUR KILL RD STATEN ISLAND, NY 10307 NON-INVESTMENT RELATED (1-20% TIME DURING MKT HRS). 8) Mountain View LLC 10 Drs. James Parker Blvd, Suite 202 Red Bank, NJ 07701- 50% OWNER/PARTNER-NON INVESTMENT RELATED-1 HOUR PER WEEK- COMPENSATION IN THE FORM OF SALES OR RENTALS
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Amato'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®
NoneExperience
Current
April 18, 2021 - Present
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
Office #1: 5379 Arthur Kill Road 2nd Floor, Staten Island, NY, 10307RIA
CRD#: 157714
Staten Island, NY
Current
January 2, 2013 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 10 Drs James Parker Blvd, Suite 202, Red Bank, NJ 07701BD
CRD#: 40077
Red Bank, NJ
Past
November 1, 2016 - May 14, 2019
NETWORK 1 FINANCIAL SECURITIES INC.
BD
CRD#: 13577
New York, NY
Past
March 29, 2012 - December 20, 2012
ALEXANDER CAPITAL, L.P.
BD
CRD#: 40077
NEW YORK, NY
Past
March 31, 2008 - April 24, 2012
LEGEND SECURITIES, INC.
BD
CRD#: 44952
NEW YORK, NY
Past
July 10, 2006 - April 10, 2008
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
STATEN ISLAND, NY
Past
June 18, 2004 - April 10, 2008
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
STATEN ISLAND, NY
Past
September 12, 2002 - June 21, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
October 11, 2000 - September 17, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 18, 1997 - October 9, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | LCORE WEALTH MANAGEMENT LLC | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.
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)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.RR
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
RR
Arizona(7/20/2015)
RR
California(12/13/2018)
RR
Florida(3/18/2013)
RR
Iowa(4/1/2015)
RR
Maryland(7/19/2013)
RR
New Hampshire(12/12/2013)
RR
New Jersey(5/17/2013)
RR
New York(1/2/2013)
IAR
New York(4/18/2021)
RR
Pennsylvania(3/31/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | LCORE WEALTH MANAGEMENT LLC | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.
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)Upgrade to AdvisorCheck Premium
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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
29
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 999 |
| AUM (Assets Under Management) | $ 212,106,766 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
CRD#: 157714Staten Island, NY 10307TRUST BUT VERIFY
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