Jason H. Klabal
Professional summary
Jason Harris Klabal was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jason is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Jason had worked at 9 firms, which includes ALEXANDER CAPITAL L.P., LEGEND SECURITIES INC., BUCKMAN BUCKMAN & REID INC., MERCER CAPITAL LTD., J.P. TURNER & COMPANY L.L.C., PRIME CHARTER LTD., WINDSOR STREET CAPITAL LP, AIBC INVESTMENT SERVICES CORPORATION, FIRST METROPOLITAN SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2016 - April 18, 2017
ALEXANDER CAPITAL, L.P.
August 4, 2011 - July 8, 2016
LEGEND SECURITIES, INC.
January 20, 2010 - August 9, 2011
BUCKMAN, BUCKMAN & REID, INC.
October 6, 2008 - January 14, 2010
MERCER CAPITAL LTD.
May 28, 2008 - October 6, 2008
J.P. TURNER & COMPANY, L.L.C.
January 1, 1999 - March 20, 2008
J.P. TURNER & COMPANY, L.L.C.
August 14, 1998 - October 1, 1998
PRIME CHARTER LTD.
August 6, 1998 - August 24, 1998
WINDSOR STREET CAPITAL, LP
February 18, 1998 - July 23, 1998
AIBC INVESTMENT SERVICES CORPORATION
July 8, 1997 - December 16, 1997
FIRST METROPOLITAN SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
Contact information
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
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