JM
James Marzigliano
ALEXANDER CAPITAL, L.P.
Red Bank, NJ 07701
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CRD#: 5927211
JM
Professional summary
James Marzigliano, who also goes by James Richard Marzigliano, Jim Marzigliano, James Richard, is a registered financial professional currently at ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Richard Marzigliano | Jim Marzigliano | James Richard
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 James Marzigliano'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
November 18, 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 10, 2015 - November 21, 2022
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
MELVILLE, NY
Past
April 25, 2012 - November 19, 2015
ROCKWELL GLOBAL CAPITAL LLC
BD
CRD#: 142485
MELVILLE, NY
Past
June 7, 2011 - January 23, 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(11/18/2022)
RR
Arizona(8/1/2023)
RR
California(11/18/2022)
RR
Colorado(11/18/2022)
RR
Connecticut(11/18/2022)
RR
Delaware(4/17/2024)
RR
Florida(11/18/2022)
RR
Georgia(11/18/2022)
RR
Maine(11/18/2022)
RR
Maryland(11/18/2022)
RR
Massachusetts(11/18/2022)
RR
Minnesota(11/18/2022)
RR
Nevada(7/31/2024)
RR
New York(11/18/2022)
RR
North Carolina(10/5/2023)
RR
Oklahoma(11/18/2022)
RR
Puerto Rico(11/3/2025)
RR
South Carolina(11/18/2022)
RR
South Dakota(11/18/2022)
RR
Texas(11/18/2022)
RR
Washington(9/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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.
