John O. Slipek

ALEXANDER CAPITAL WEALTH MANAGEMENT

Red Bank, NJ 07701

CRD#: 4274243

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Professional summary

John Owen Slipek is a registered financial advisor currently at ALEXANDER CAPITAL WEALTH MANAGEMENT LLC located in Red Bank, New Jersey and ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. John has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Owen Slipek'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

November 20, 2019 - Present

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

Office #1: 10 Drs James Parker Blvd, Suite 202, Red Bank, NJ 07701

RIA

CRD#: 157714

Red Bank, NJ

Current

September 13, 2012 - Present

ALEXANDER CAPITAL, L.P.

Office #1: 10 Drs James Parker Blvd, Suite 202, Red Bank, NJ 07701

CRD#: 40077

Red Bank, NJ

Past

January 25, 2010 - September 18, 2012

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

CRD#: 43177

RED BANK, NJ

Past

July 17, 2009 - January 22, 2010

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

COLTS NECK, NJ

Past

January 22, 2008 - August 4, 2009

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

COLTS NECK, NJ

Past

October 4, 2006 - January 17, 2008

INVESTORS CAPITAL CORP.

CRD#: 30613

COLTS NECK, NJ

Past

July 2, 2004 - May 15, 2006

JOSEPH STEVENS & CO., INC.

CRD#: 35459

NEW YORK, NY

Past

March 3, 2004 - July 14, 2004

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

CRD#: 43177

ATLANTA, GA

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".

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

CRD#: 157714 / SEC#: 801-112997

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Arkansas

Registered Investment Advisory firm - (5/15/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (6/20/2018 Terminated)

New York

Registered Investment Advisory firm - (5/15/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/22/2018 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
(10/5/2012)

Alaska
(9/13/2012)

Arizona
(9/13/2012)

Arkansas
(1/11/2013)

California
(9/13/2012)

Colorado
(9/26/2012)

Connecticut
(9/14/2012)

Delaware
(9/13/2012)

District of Columbia
(9/13/2012)

Florida
(1/15/2013)

Georgia
(9/13/2012)

Hawaii
(6/5/2023)

Idaho
(9/13/2012)

Illinois
(9/13/2012)

Indiana
(9/19/2012)

Iowa
(9/13/2012)

Kansas
(9/13/2012)

Kentucky
(9/13/2012)

Louisiana
(9/13/2012)

Maryland
(9/13/2012)

Massachusetts
(9/13/2012)

Michigan
(9/13/2012)

Minnesota
(9/13/2012)

Mississippi
(9/13/2012)

Missouri
(9/13/2012)

Nebraska
(9/13/2012)

Nevada
(9/13/2012)

New Hampshire
(1/30/2013)

New Jersey
(9/13/2012)

IAR

New Jersey
(11/20/2019)

New Mexico
(9/13/2012)

New York
(9/13/2012)

IAR

New York
(11/13/2021)

North Carolina
(9/13/2012)

North Dakota
(8/11/2016)

Ohio
(9/13/2012)

Oklahoma
(9/19/2012)

Oregon
(9/13/2012)

Pennsylvania
(9/13/2012)

Puerto Rico
(4/4/2024)

Rhode Island
(9/13/2012)

South Carolina
(9/13/2012)

South Dakota
(9/13/2012)

Tennessee
(2/14/2019)

Texas
(9/13/2012)

Utah
(12/12/2012)

Vermont
(9/13/2012)

Virginia
(9/13/2012)

Washington
(9/18/2012)

West Virginia
(9/13/2012)

Wisconsin
(9/19/2012)

Wyoming
(9/13/2012)

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

IAR

Series 65

Date: 9/30/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

CRD#: 157714 / SEC#: 801-112997

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Arkansas

Registered Investment Advisory firm - (5/15/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (6/20/2018 Terminated)

New York

Registered Investment Advisory firm - (5/15/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

10 Drs. James Parker Blvd Suite 202, Red Bank, NJ 07701

Mailing Address

Phone number

(212) 687-5650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALEXANDER CAPITAL WEALTH MANAGEMENT, LLC FIRM BROCHURE (3/11/2025)

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC APPENDIX 1 (3/11/2025)

Regulatory assets under management

Total Number of Accounts	999
AUM (Assets Under Management)	$ 212,106,766

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.

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Firm Stability Insights

John O. Slipek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Owen Slipek's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALEXANDER CAPITAL, L.P.

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

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

NEWBRIDGE SECURITIES CORPORATION

INVESTORS CAPITAL CORP.

JOSEPH STEVENS & CO., INC.

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

Primary Firm SEC Registration

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2019

Series 63

Date: 3/26/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2004

FINRA

Current Firm

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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