Amy N. Zwaan

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

Clovis, CA

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CRD#: 4857906

Professional summary

Amy Nuttall Zwaan, who also goes by Amy Elizabeth Nuttall, Amy Nuttall Zwaan, Amy Zwaan, Amy Nuttall Zwaan, is a registered financial advisor currently at ALEXANDER CAPITAL WEALTH MANAGEMENT LLC located in Clovis, California and ALEXANDER CAPITAL, L.P. located in Fresno, California.

Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Amy has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Elizabeth Nuttall | Amy Nuttall Zwaan | Amy Zwaan | Amy Nuttall Zwaan

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) 11/2022- Amy Nuttall, INC- Business Entity For Tax/Investment Purposes Only- Payroll and Small Business Health Insurance plan as directed by CPA - owner /President- non-inv. related- Fresno, CA 93704 - start date 6/1/2021- 0hrs

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Nuttall Zwaan'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

October 25, 2024 - Present

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

RIA

CRD#: 157714

Clovis, CA

Current

January 24, 2025 - Present

ALEXANDER CAPITAL, L.P.

Office #1: 7040 N Marks #111, Fresno, CA 93711

CRD#: 40077

Fresno, CA

Past

October 22, 2024 - December 13, 2024

ALEXANDER CAPITAL, L.P.

CRD#: 40077

RED BANK, NJ

Past

November 14, 2022 - May 29, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

FRESNO, CA

Past

November 14, 2022 - May 29, 2024

LPL FINANCIAL LLC

CRD#: 6413

FRESNO, CA

Past

January 7, 2020 - December 9, 2022

WEALTHPLAN PARTNERS

RIA

CRD#: 305026

Fresno, CA

Past

September 9, 2019 - July 10, 2020

WEALTHPLAN PARTNERS

RIA

CRD#: 158935

Fresno, CA

Past

September 9, 2019 - November 29, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

FRESNO, CA

Past

November 29, 2018 - September 10, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

FRESNO, CA

Past

November 29, 2018 - September 10, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

FRESNO, CA

Past

December 2, 2016 - December 3, 2018

THE WEALTH CONSULTING GROUP

RIA

CRD#: 173194

Fresno, CA

Past

September 14, 2010 - March 17, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

FRESNO, CA

Past

September 10, 2010 - December 20, 2018

LPL FINANCIAL LLC

CRD#: 6413

FRESNO, CA

Past

November 30, 2007 - September 14, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FRESNO, CA

Past

November 30, 2007 - September 14, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FRESNO, CA

Past

December 3, 2004 - December 10, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FRESNO, CA

Past

November 15, 2004 - December 10, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FRESNO, CA

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

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)

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

IAR

California
(10/25/2024)

California
(1/27/2025)

Colorado
(2/7/2025)

Idaho
(1/28/2025)

Nevada
(1/30/2025)

New Jersey
(1/28/2025)

Oregon
(1/30/2025)

Texas
(4/16/2025)

Wyoming
(1/27/2025)

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 66

Date: 12/2/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/2004

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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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

Amy N. Zwaan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Nuttall Zwaan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALEXANDER CAPITAL, L.P.

ALEXANDER CAPITAL, L.P.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WEALTHPLAN PARTNERS

WEALTHPLAN PARTNERS

SECURITIES AMERICA, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

THE WEALTH CONSULTING GROUP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/2/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2004

FINRA

Nasdaq Stock Market

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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