NF
Nick Filippo
ALEXANDER CAPITAL WEALTH MANAGEMENT
Red Bank, NJ 07701
CRD#: 6527350
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NF
Nick FilippoALEXANDER CAPITAL WEALTH MANAGEMENT
Professional summary
Nick Filippo is a registered financial advisor currently at ALEXANDER CAPITAL WEALTH MANAGEMENT LLC located in Red Bank, New Jersey and ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.
Nick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Nick has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) - RIA
Click below to view Nick Filippo'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
March 2, 2020 - Present
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
Office #1: 10 Drs James Parker Blvd, Suite 202, Red Bank, NJ 07701RIA
CRD#: 157714
Red Bank, NJ
Current
July 9, 2015 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 10 Drs James Parker Blvd, Suite 202, Red Bank, NJ 07701BD
CRD#: 40077
RED BANK, NJ
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".
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | MEDAX CAPITAL | LCORE WEALTH MANAGEMENT LLC | AXIO WEALTH STRATEGIES | 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)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.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(6/16/2016)
RR
Alaska(6/5/2018)
RR
Arizona(1/4/2017)
RR
Arkansas(1/4/2017)
RR
California(1/6/2016)
RR
Colorado(5/19/2016)
RR
Connecticut(4/16/2018)
RR
Florida(6/16/2016)
RR
Georgia(6/8/2023)
RR
Hawaii(6/8/2023)
RR
Idaho(10/15/2018)
RR
Illinois(6/16/2016)
RR
Indiana(3/2/2017)
RR
Iowa(4/20/2016)
RR
Kansas(1/6/2016)
RR
Kentucky(1/12/2022)
RR
Louisiana(6/16/2016)
RR
Maryland(7/11/2019)
RR
Massachusetts(6/16/2016)
RR
Michigan(5/11/2016)
RR
Minnesota(1/6/2016)
RR
Mississippi(2/12/2018)
RR
Missouri(4/7/2016)
RR
Nebraska(10/14/2019)
RR
Nevada(5/20/2016)
RR
New Hampshire(11/3/2016)
RR
New Jersey(11/3/2016)
IAR
New Jersey(3/2/2020)
RR
New Mexico(1/13/2017)
RR
New York(9/29/2015)
IAR
New York(11/11/2021)
RR
North Carolina(1/7/2016)
RR
North Dakota(7/29/2016)
RR
Ohio(4/13/2016)
RR
Oklahoma(6/3/2016)
RR
Oregon(8/1/2017)
RR
Pennsylvania(6/16/2016)
RR
Puerto Rico(4/4/2024)
RR
Rhode Island(10/16/2020)
RR
South Carolina(8/15/2017)
RR
South Dakota(4/3/2017)
RR
Tennessee(4/16/2019)
RR
Texas(1/6/2016)
RR
Vermont(7/12/2024)
RR
Virginia(9/26/2016)
RR
Washington(6/16/2016)
RR
Wisconsin(6/16/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | MEDAX CAPITAL | LCORE WEALTH MANAGEMENT LLC | AXIO WEALTH STRATEGIES | 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)Loading...
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
29
SEC notice filing (18 States and Territories)
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.
