Amy N. Zwaan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Amy Nuttall Zwaan, who also goes by Amy Elizabeth Nuttall, Amy Nuttall Zwaan, Amy Zwaan, Amy Nuttall Zwaan, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2004. Amy had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2025 - July 20, 2026
ALEXANDER CAPITAL, L.P.
October 25, 2024 - July 20, 2026
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
October 22, 2024 - December 13, 2024
ALEXANDER CAPITAL, L.P.
November 14, 2022 - May 29, 2024
LPL FINANCIAL LLC
November 14, 2022 - May 29, 2024
LPL FINANCIAL LLC
January 7, 2020 - December 9, 2022
WEALTHPLAN PARTNERS
September 9, 2019 - July 10, 2020
WEALTHPLAN PARTNERS
September 9, 2019 - November 29, 2022
SECURITIES AMERICA, INC.
November 29, 2018 - September 10, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 29, 2018 - September 10, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 2, 2016 - December 3, 2018
THE WEALTH CONSULTING GROUP
September 14, 2010 - March 17, 2017
LPL FINANCIAL LLC
September 10, 2010 - December 20, 2018
LPL FINANCIAL LLC
November 30, 2007 - September 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2007 - September 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2004 - December 10, 2007
UBS FINANCIAL SERVICES INC.
November 15, 2004 - December 10, 2007
UBS FINANCIAL SERVICES 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
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
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.
