Patrick J. Ferraro

TSG ALPHA PARTNERS

Ronkonkoma, NY 11779

Some features on this profile are disabled

CRD#: 2938345

Professional summary

Patrick Joseph Ferraro JR, who also goes by Pat Ferraro Jr, is a registered financial advisor currently at TSG ALPHA PARTNERS, LLC located in Ronkonkoma, New York and TSG CAPITAL ADVISORS located in Ronkonkoma, New York.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Patrick has worked at 15 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pat Ferraro Jr

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.

Name of the other business: The Spaventa Group, Investment-related? Yes, Address of other business: 3275 Veterans Memorial Highway, Suite B9, Ronkonkoma, NY 11779, Nature of the other business: Venture Capital, Position, title, or relationship with the other business: Advisor, Start Date: January 2020, Approximate number of hours/month you devote to the other business: Approx. 40% to 50% weekly, Number of hours you devote to the other business during securities trading hours: Approx. 40% to 50% weekly, Duties relating to the other business: Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Ferraro JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 21, 2022 - Present

TSG ALPHA PARTNERS, LLC

Office #1: 3275 Veterans Memorial Hwy Ste B9, Ronkonkoma, NY 11779

RIA

CRD#: 319493

Ronkonkoma, NY

Current

June 10, 2024 - Present

TSG CAPITAL ADVISORS

Office #1: 3275 Veterans Memorial Highway Suite B-9, Ronkonkoma, NY 11779

CRD#: 147509

Ronkonkoma, NY

Past

November 27, 2019 - December 2, 2021

PHX FINANCIAL, INC.

CRD#: 144403

Hauppauge, NY

Past

August 24, 2012 - November 29, 2019

CAPE SECURITIES INC.

CRD#: 7072

Holtsville, NY

Past

July 18, 2011 - August 24, 2012

SW FINANCIAL

CRD#: 145012

HOLBROOK, NY

Past

June 12, 2009 - July 5, 2011

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

HOLBROOK, NY

Past

February 26, 2009 - June 15, 2009

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

HOLTSVILLE, NY

Past

May 29, 2007 - March 11, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

JERICHO, NY

Past

May 10, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

JERICHO, NY

Past

March 12, 2004 - March 8, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

October 16, 2001 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

October 16, 2001 - May 6, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

January 5, 2001 - July 13, 2001

SANDGRAIN SECURITIES LLC

CRD#: 26004

GARDEN CITY, NY

Past

October 19, 2000 - January 5, 2001

CANTELLA & CO., INC.

CRD#: 13905

MALDEN, MA

Past

June 8, 1998 - October 16, 2000

GLOBAL CAPITAL MARKETS, LLC

CRD#: 16191

MELVILLE, 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".

TSG ALPHA PARTNERS, LLC

TSG ALPHA | TSG ALPHA PARTNERS, LLC

CRD#: 319493 / SEC#: 801-131801

RIA

Registered Investment Advisory firm - (2/7/2025 Approved)

Florida

Registered Investment Advisory firm - (2/18/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (2/18/2025 Terminated)

New Jersey

Registered Investment Advisory firm - (2/27/2025 Terminated)

New York

Registered Investment Advisory firm - (2/18/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/18/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(1/6/2025)

Arizona
(1/6/2025)

Arkansas
(1/6/2025)

California
(1/6/2025)

Colorado
(1/6/2025)

Florida
(1/6/2025)

Georgia
(1/7/2025)

Illinois
(1/6/2025)

Indiana
(1/6/2025)

Iowa
(12/17/2024)

Kentucky
(1/6/2025)

Louisiana
(1/6/2025)

Maryland
(4/14/2025)

Massachusetts
(10/9/2024)

Michigan
(1/6/2025)

Minnesota
(1/6/2025)

Missouri
(1/6/2025)

Montana
(1/15/2025)

Nebraska
(1/6/2025)

New Jersey
(1/6/2025)

IAR

New York
(10/21/2022)

New York
(12/3/2024)

North Carolina
(1/10/2025)

Ohio
(1/31/2025)

Oregon
(1/6/2025)

Pennsylvania
(1/6/2025)

Rhode Island
(5/8/2025)

Texas
(1/6/2025)

Utah
(1/6/2025)

Washington
(1/6/2025)

Wyoming
(1/6/2025)

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

State Security Law Exam

Series 63

Date: 9/17/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/29/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/6/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TSG ALPHA PARTNERS, LLC

TSG ALPHA | TSG ALPHA PARTNERS, LLC

CRD#: 319493 / SEC#: 801-131801

RIA

Registered Investment Advisory firm - (2/7/2025 Approved)

Florida

Registered Investment Advisory firm - (2/18/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (2/18/2025 Terminated)

New Jersey

Registered Investment Advisory firm - (2/27/2025 Terminated)

New York

Registered Investment Advisory firm - (2/18/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/18/2025 Terminated)

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

35 Journal Square Suite 700, Jersey City, NJ 07036

Mailing Address

Phone number

(631) 403-5364

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TSG ALPHA PARTNERS - PRIVATE FUND BROCHURE (7/10/2025)

TSG ALPHA PARTNERS, LLC - FIRM BROCHURE (7/10/2025)

Regulatory assets under management

Total Number of Accounts	96
AUM (Assets Under Management)	$ 75,424,005

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.

Similar Advisors

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

IAR

SETAUKET, NY

Gregory Harris

PFS INVESTMENTS INC.

Farmingdale, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick J. Ferraro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Ferraro JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

TSG CAPITAL ADVISORS

PHX FINANCIAL, INC.

CAPE SECURITIES INC.

SW FINANCIAL

FIRST MIDWEST SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

NYLIFE SECURITIES LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

SANDGRAIN SECURITIES LLC

CANTELLA & CO., INC.

GLOBAL CAPITAL MARKETS, LLC

Primary Firm SEC Registration

TSG ALPHA PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/2024

Series 65

Date: 8/29/2022

SIE

Date: 10/1/2018

Series 7

Date: 6/6/1998

FINRA

Current Firm

TSG ALPHA PARTNERS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TSG ALPHA PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors