JC
Jeffrey J. Cathersal
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
TACOMA, WA
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CRD#: 4522759
JC
Professional summary
Jeffrey John Cathersal, who also goes by Jeff Cathersal, is a registered financial advisor currently at ALEXANDER CAPITAL WEALTH MANAGEMENT LLC located in Tacoma, Washington and PENNY LANE WEALTH MANAGEMENT, LLC located in Tacoma, Washington.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jeffrey has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Cathersal
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.
1)Alexander Capital Wealth Management LLC; Yes; Tacoma, WA; Financial; IAR; 05/2022; 40/ MO; 20/ Security Hours 2)Alexander Capital, L.P.; Yes; New York, NY; Insurance Agent; 05/2022; 5/ MO; 0 Security Hours 3)Alexander Capital, L.P. Yes; New York, NY; Registered Representative; 05/2022; 34/ MO; 20 Security Hours 4)Cathersal Investments, INC.;Yes; 2403 N Alder St. Tacoma WA. 98406; Financial; President; 01/2007; 1/ MO; 0 Security Hours 5) Penny Lane Wealth Management; Investment related; 1804 W Union Ave Tacoma, WA 98405; IAR; Investment Advisor; 08/03/2022; 10hrs; IA
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey John Cathersal'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
May 25, 2022 - Present
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
RIA
CRD#: 157714
TACOMA, WA
Current
August 9, 2022 - Present
PENNY LANE WEALTH MANAGEMENT, LLC
Office #1: 1804 W. Union Ave., Suite 202, Tacoma, WA 98405RIA
CRD#: 318918
Tacoma, WA
Current
May 25, 2022 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701BD
CRD#: 40077
Red Bank, NJ
Past
November 6, 2020 - May 26, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
TACOMA, WA
Past
November 6, 2020 - May 26, 2022
ARBOR POINT ADVISORS
RIA
CRD#: 165127
TACOMA, WA
Past
November 6, 2020 - May 26, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Tacoma, WA
Past
April 10, 2008 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
Tacoma, WA
Past
April 1, 2008 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
Tacoma, WA
Past
January 3, 2006 - March 25, 2010
PORTFOLIO STRATEGIES INC
RIA
CRD#: 104685
TACOMA, WA
Past
July 16, 2001 - November 18, 2004
PORTFOLIO STRATEGIES INC
RIA
CRD#: 104685
TACOMA, WA
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".
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | LCORE WEALTH MANAGEMENT LLC | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.
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)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
Arizona(5/25/2022)
RR
New York(5/25/2022)
RR
Oregon(5/25/2022)
RR
Washington(5/25/2022)
IAR
Washington(5/25/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | LCORE WEALTH MANAGEMENT LLC | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.
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)Upgrade to AdvisorCheck Premium
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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
29
SEC notice filing (18 States and Territories)
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.
