Maria Dunn
Professional summary
Maria Dunn is a registered financial professional currently at ALEXANDER CAPITAL, L.P. located in Staten Island, New York.
Maria is registered as a RR (Registered Representative) and started their career in finance in 2002. Maria has worked at 8 firms and has passed the Series 79TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Maria Dunn's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 5, 2018 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 5379 Arthur Kill Road 2nd Floor, Staten Island, NY 10307March 19, 2015 - June 22, 2016
JOSEPH GUNNAR & CO. LLC
March 20, 2007 - June 20, 2013
JOHN THOMAS FINANCIAL
December 18, 2006 - December 20, 2006
NEWBRIDGE SECURITIES CORPORATION
January 17, 2006 - December 14, 2006
EASTBROOK CAPITAL GROUP LLC
November 3, 2004 - February 6, 2006
JOSEPH STEVENS & CO., INC.
November 20, 2002 - November 5, 2004
LADENBURG THALMANN & CO. INC.
July 16, 2002 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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Company Information
ALEXANDER CAPITAL, L.P.
CRD#: 40077Staten Island, NY 10307TRUST BUT VERIFY
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