RK
Raquel E. Krispeal
ALEXANDER CAPITAL, L.P.
Staten Island, NY 10307
Some features on this profile are disabled
CRD#: 5733217
RK
Professional summary
Raquel E Krispeal is a registered financial professional currently at ALEXANDER CAPITAL, L.P. located in Staten Island, New York.
Raquel is registered as a RR (Registered Representative) and started their career in finance in 2010. Raquel has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Raquel E Krispeal'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 17, 2024 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 5379 Arthur Kill Road, Suite 2, Staten Island, NY 10307BD
CRD#: 40077
Staten Island, NY
Past
March 20, 2019 - June 28, 2024
ARIVE CAPITAL MARKETS
BD
CRD#: 8060
Staten Island, NY
Past
March 8, 2018 - April 11, 2019
MOMENTIX CAPITAL, INC.
BD
CRD#: 20130
HAZLET, NJ
Past
March 30, 2015 - December 7, 2016
LEGEND SECURITIES, INC.
BD
CRD#: 44952
Staten Island, NY
Past
March 13, 2013 - February 27, 2015
LEGEND SECURITIES, INC.
BD
CRD#: 44952
GREAT NECK, NY
Past
April 20, 2012 - March 4, 2013
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
June 3, 2010 - April 16, 2012
JOHN THOMAS FINANCIAL
BD
CRD#: 40982
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(5/17/2024)
RR
Colorado(5/17/2024)
RR
Florida(6/3/2024)
RR
Indiana(12/18/2024)
RR
Massachusetts(7/24/2024)
RR
Minnesota(5/17/2024)
RR
New York(5/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/31/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ALEXANDER CAPITAL, L.P.
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701
Mailing Address
10 Drs James Parker Blvd Suite 201, Red Bank, NJ 07701
Phone number
(212) 687-5650
Established
Delaware since 11/28/1995
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
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.
Company Information
ALEXANDER CAPITAL, L.P.
CRD#: 40077Staten Island, NY 10307TRUST BUT VERIFY
Monitor Raquel Krispeal
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
