Harold B. Ramsey

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CRD#: 5065990

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.

Harold B Ramsey, who also goes by Harold Buster Ramsey, was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 2005. Harold had worked at 17 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Harold Buster Ramsey

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 18, 2024 - June 12, 2025

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

RIA

CRD#: 157714

Red Bank, NJ

Past

March 17, 2021 - April 21, 2022

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

NEW YORK, NY

Past

February 18, 2020 - March 23, 2021

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

RIA

CRD#: 154632

NEW YORK, NY

Past

February 11, 2020 - March 23, 2021

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

October 22, 2019 - February 11, 2020

BENCHMARK ADVISORY SERVICES, LLC

RIA

CRD#: 305662

NEW YORK, NY

Past

February 23, 2019 - February 11, 2020

D. BORAL CAPITAL

CRD#: 103792

New York, NY

Past

January 23, 2018 - February 21, 2019

NFSG CORPORATION

RIA

CRD#: 130814

NEW YORK, NY

Past

October 10, 2017 - February 21, 2019

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

NEW YORK, NY

Past

October 24, 2016 - October 10, 2017

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

ATLANTA, GA

Past

September 13, 2016 - October 10, 2017

NATIONAL SECURITIES CORPORATION

CRD#: 7569

ATLANTA, GA

Past

November 12, 2014 - October 5, 2016

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

NEW YORK, NY

Past

August 13, 2012 - October 5, 2016

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

January 24, 2012 - September 10, 2012

JOHN CARRIS INVESTMENTS LLC

CRD#: 145767

HOBOKEN, NJ

Past

April 8, 2011 - December 20, 2011

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

May 4, 2010 - April 15, 2011

GARDEN STATE SECURITIES, INC.

CRD#: 10083

HACKENSACK, NJ

Past

February 13, 2009 - April 22, 2010

WORLD EQUITY GROUP, INC.

CRD#: 29087

ENGLEWOOD CLIFFS, NJ

Past

March 16, 2006 - February 13, 2009

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

December 15, 2005 - February 21, 2006

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/17/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 3/1/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/28/2016

General Securities Principal Examination

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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Advisor Monitoring

Firm Stability Insights

Harold B. Ramsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PAULSON INVESTMENT COMPANY LLC

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

SPARTAN CAPITAL SECURITIES, LLC

BENCHMARK ADVISORY SERVICES, LLC

D. BORAL CAPITAL

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

JOHN CARRIS INVESTMENTS LLC

JOSEPH GUNNAR & CO. LLC

GARDEN STATE SECURITIES, INC.

WORLD EQUITY GROUP, INC.

LAIDLAW & COMPANY (UK) LTD.

BROOKSTREET SECURITIES CORPORATION

Primary Firm SEC Registration

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2024

Series 63

Date: 1/12/2006

Series 79TO

Date: 3/1/2022

SIE

Date: 10/1/2018

Series 7

Date: 12/14/2005

Series 24

Date: 5/28/2016

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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