RF
Roy J. Failla
ALEXANDER CAPITAL, L.P.
Staten Island, NY 10307
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CRD#: 2786551
RF
Professional summary
Roy Joseph Failla, who also goes by Roy J Failla, is a registered financial professional currently at ALEXANDER CAPITAL, L.P. located in Staten Island, New York.
Roy is registered as a RR (Registered Representative) and started their career in finance in 1998. Roy has worked at 9 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Roy J Failla
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.
CRS (Client Relationship Summary) - BD
Click below to view Roy Joseph Failla'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
December 5, 2024 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 5379 Arthur Kill Road, Suite 2, Staten Island, NY 10307BD
CRD#: 40077
Staten Island, NY
Past
April 5, 2024 - November 5, 2024
ALEXANDER CAPITAL, L.P.
BD
CRD#: 40077
STATEN ISLAND, NY
Past
September 21, 2019 - April 8, 2024
ARIVE CAPITAL MARKETS
BD
CRD#: 8060
Staten Island, NY
Past
October 20, 2014 - September 25, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
BD
CRD#: 168340
RED BANK, NJ
Past
June 18, 2012 - October 20, 2014
ALEXANDER CAPITAL, L.P.
BD
CRD#: 40077
STATEN ISLAND, NY
Past
October 20, 2009 - June 20, 2012
BROOKSTONE SECURITIES, INC.
BD
CRD#: 13366
STATEN ISLAND, NY
Past
August 1, 2006 - November 18, 2009
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
STATEN ISLAND, NY
Past
June 2, 2004 - August 2, 2006
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
STATEN ISLAND, NY
Past
October 24, 2000 - June 24, 2004
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, NY
Past
December 1, 1998 - October 27, 2000
LCP CAPITAL CORP.
BD
CRD#: 14469
STATEN ISLAND, NY
Past
May 22, 1998 - December 31, 1998
SHAMROCK PARTNERS, LTD
BD
CRD#: 23955
MEDIA, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(1/6/2025)
RR
California(12/10/2024)
RR
Delaware(6/2/2025)
RR
Florida(12/9/2024)
RR
Georgia(1/3/2025)
RR
Indiana(12/10/2024)
RR
Louisiana(3/19/2025)
RR
Maryland(2/21/2025)
RR
Michigan(1/22/2025)
RR
Nevada(1/8/2025)
RR
New Jersey(12/6/2024)
RR
New York(12/9/2024)
RR
North Carolina(2/11/2025)
RR
Ohio(1/31/2025)
RR
Oregon(3/18/2025)
RR
Pennsylvania(12/9/2024)
RR
South Carolina(12/9/2024)
RR
Texas(12/6/2024)
RR
Utah(2/3/2025)
RR
Wyoming(1/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/13/1998
Corporate Securities Limited Representative ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AC
ALEXANDER CAPITAL, L.P.
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701
Mailing Address
10 Drs James Parker Blvd Suite 201, Red Bank, NJ 07701
Phone number
(212) 687-5650
Established
Delaware since 11/28/1995
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
ALEXANDER CAPITAL, L.P.
CRD#: 40077Staten Island, NY 10307TRUST BUT VERIFY
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