JS
Joel E. Smith
ALEXANDER CAPITAL, L.P.
Atlanta, GA 30350
Some features on this profile are disabled
CRD#: 2910505
JS
Professional summary
Joel Edward Smith is a registered financial professional currently at ALEXANDER CAPITAL, L.P. located in Atlanta, Georgia.
Joel is registered as a RR (Registered Representative) and started their career in finance in 1998. Joel has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Joel Edward Smith'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
September 20, 2018 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 9040 Roswell Road Suite 350, Atlanta, GA 30350BD
CRD#: 40077
Atlanta, GA
Past
December 1, 2014 - September 24, 2018
GARDEN STATE SECURITIES, INC.
BD
CRD#: 10083
New York, NY
Past
September 2, 2014 - December 2, 2014
GLOBAL ARENA CAPITAL CORP
BD
CRD#: 16871
NEW YORK, NY
Past
October 22, 2004 - December 5, 2008
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
NEW YORK, NY
Past
July 14, 2003 - October 20, 2004
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
July 4, 2003 - July 11, 2003
THINKEQUITY LLC
BD
CRD#: 20996
NEW YORK, NY
Past
June 8, 1998 - September 27, 2000
FIRST PROVIDENCE FINANCIAL GROUP, LLC
BD
CRD#: 39469
PORT WASHINGTON, NY
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(9/20/2018)
RR
California(9/20/2018)
RR
Florida(9/20/2018)
RR
Georgia(1/23/2020)
RR
Hawaii(9/20/2018)
RR
Idaho(9/17/2020)
RR
Illinois(9/20/2018)
RR
Indiana(1/24/2022)
RR
Iowa(9/20/2018)
RR
Louisiana(9/20/2018)
RR
Maine(9/20/2018)
RR
Maryland(9/20/2018)
RR
Massachusetts(9/20/2018)
RR
Minnesota(9/20/2018)
RR
Missouri(9/20/2018)
RR
New Jersey(9/20/2018)
RR
New York(9/20/2018)
RR
North Carolina(9/20/2018)
RR
Ohio(9/20/2018)
RR
Oklahoma(9/20/2018)
RR
Pennsylvania(9/20/2018)
RR
South Carolina(9/20/2018)
RR
Texas(9/20/2018)
RR
Utah(9/20/2018)
RR
Wisconsin(9/20/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
