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JA

Joseph B. Alala

CAPITALA SECURITIES
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 6029964
JA

Professional summary

Joseph Basil Alala III, who also goes by Joe Alala, is a registered financial professional currently at CAPITALA SECURITIES, LLC located in Charlotte, North Carolina.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2022. Joseph has worked at 1 firm and has passed the Series 82TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Alala

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) - BD

Click below to view Joseph Basil Alala III'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®
None

Experience

Current

July 11, 2022 - Present

CAPITALA SECURITIES, LLC

Office #1: 4201 Congress Street Suite 360c, Charlotte, NC 28209
BD
CRD#: 304095
Charlotte, NC

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.

Exams

General Industry/Product Exam
RR
Series 82TO
Date: 9/26/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79TO
Date: 7/11/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/7/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPITALA SECURITIES, LLC
CAPITALA SECURITIES, LLC

CRD#: 304095 / SEC#: , 8-70342

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4201 Congress Street Suite 360c, Charlotte, NC 28209
Mailing Address
4201 Congress Street Suite 360c, Charlotte, NC 28209
Phone number
(704) 790-1666
Established
Delaware since 06/29/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITALA SECURITIES HOLDING CORP.OWNER AND SOLE MEMBER
ALALA, CHRISTINE LEVETTPRESIDENT5723934
COSIO, ROMMELCHIEF COMPLIANCE OFFICER2017788
THORNTON, STEVEN LEEFINOP, CFO4496384

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

CAPITALA SECURITIES, LLC

CRD#: 304095Charlotte, NC 28209

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