Alexandra G. Forte
JANNEY MONTGOMERY SCOTT LLC | Financial Advisor Associate
NEW HAVEN, CT 06511
Some features on this profile are disabled
CRD#: 4446118
Professional summary
Alexandra G. Forte, who also goes by Alex Gonzalez, Alexandra Gonzalez, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New Haven, Connecticut.
Alexandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Alexandra has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Biography
Dana has been working with Charles since November 1997, with prior experience in the legal profession. She manages client relationships and is the key contact for trusts and estates. In addition, Dana coordinates client communications, operational assistance and research for special situations. She serves as our Branch Technology Leader and served as a charter member for three years on Janney's PCA Leadership Council.
She holds her FINRA Series 7 license and received a B.A. in Political Science from Southern Connecticut State University. Dana volunteers with Habitat for Humanity, is a member of the PTA and loves spending time with her family and all of their pets.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Gonzalez | Alexandra Gonzalez
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) - RIA
Click below to view Alexandra G. Forte's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexandra G. Forte'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
December 9, 2010 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 321 Whitney Avenue, New Haven, CT 06511RIA
BD
CRD#: 463
NEW HAVEN, CT
Current
December 9, 2010 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 321 Whitney Avenue, New Haven, CT 06511RIA
BD
CRD#: 463
NEW HAVEN, CT
Past
January 13, 2006 - December 14, 2010
STEPHENS
RIA
CRD#: 3496
NEW HAVEN, CT
Past
January 13, 2006 - December 14, 2010
STEPHENS
BD
CRD#: 3496
NEW HAVEN, CT
Past
December 7, 2005 - February 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
NEW HAVEN, CT
Past
December 5, 2005 - February 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 16, 2003 - May 13, 2005
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
NEW YORK, NY
Past
October 16, 2003 - May 13, 2005
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
July 1, 2003 - July 25, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 28, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, 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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.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
Alaska(12/9/2010)
RR
Arizona(12/9/2010)
RR
California(12/9/2010)
IAR
California(6/2/2011)
RR
Colorado(12/9/2010)
RR
Connecticut(12/9/2010)
IAR
Connecticut(12/9/2010)
RR
District of Columbia(12/9/2010)
IAR
District of Columbia(7/11/2011)
RR
Florida(12/9/2010)
IAR
Florida(2/26/2024)
RR
Georgia(12/9/2010)
RR
Hawaii(12/9/2010)
RR
Illinois(12/9/2010)
RR
Indiana(9/23/2024)
RR
Kansas(2/23/2024)
RR
Kentucky(12/9/2010)
RR
Maine(12/9/2010)
RR
Maryland(12/9/2010)
RR
Massachusetts(12/9/2010)
RR
Michigan(12/9/2010)
RR
Minnesota(3/17/2021)
RR
Missouri(12/9/2010)
RR
Montana(12/9/2010)
RR
New Hampshire(12/9/2010)
RR
New Jersey(12/9/2010)
IAR
New Jersey(6/2/2011)
RR
New York(12/9/2010)
IAR
New York(2/23/2024)
RR
North Carolina(12/9/2010)
IAR
North Carolina(6/7/2011)
RR
Ohio(12/9/2010)
IAR
Ohio(6/2/2011)
RR
Oregon(2/23/2024)
RR
Pennsylvania(12/9/2010)
RR
Rhode Island(12/9/2010)
RR
South Carolina(12/9/2010)
RR
Tennessee(12/9/2010)
RR
Texas(12/9/2010)
IAR
Texas(2/24/2024)
RR
Vermont(12/9/2010)
RR
Virginia(12/9/2010)
RR
Washington(12/9/2010)
RR
Wisconsin(12/9/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
Financial Advisor AssociateCRD#: 463New Haven, CT 06511TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
