Steven A. Pusterla

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CRD#: 6818846

Professional summary

Steven A Pusterla was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 2021. Prior to being barred, Steven had worked at 5 firms, which includes TSG ALPHA PARTNERS LLC, TSG CAPITAL ADVISORS, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CETERA INVESTMENT ADVISERS LLC, CETERA FINANCIAL SPECIALISTS LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Pusterla | Steven Pusterla

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

April 24, 2025 - June 25, 2025

TSG ALPHA PARTNERS, LLC

RIA

CRD#: 319493

Jersey City, NJ

Past

April 23, 2025 - June 25, 2025

TSG CAPITAL ADVISORS

CRD#: 147509

RONKONKOMA, NY

Past

August 14, 2023 - December 24, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WAYNE, NJ

Past

August 14, 2023 - December 24, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WAYNE, NJ

Past

July 8, 2022 - April 19, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ROCHELLE PARK, NJ

Past

December 17, 2021 - April 19, 2023

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

ROCHELLE PARK, 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".

TSG ALPHA PARTNERS, LLC

TSG ALPHA | TSG ALPHA PARTNERS, LLC

CRD#: 319493 / SEC#: 801-131801

RIA

Registered Investment Advisory firm - (2/7/2025 Approved)

Florida

Registered Investment Advisory firm - (2/18/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (2/18/2025 Terminated)

New Jersey

Registered Investment Advisory firm - (2/27/2025 Terminated)

New York

Registered Investment Advisory firm - (2/18/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/18/2025 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: 7/6/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/17/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/28/2020

Securities Industry Essentials Examination

Current Firm

TSG ALPHA PARTNERS, LLC

TSG ALPHA | TSG ALPHA PARTNERS, LLC

CRD#: 319493 / SEC#: 801-131801

RIA

Registered Investment Advisory firm - (2/7/2025 Approved)

Florida

Registered Investment Advisory firm - (2/18/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (2/18/2025 Terminated)

New Jersey

Registered Investment Advisory firm - (2/27/2025 Terminated)

New York

Registered Investment Advisory firm - (2/18/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/18/2025 Terminated)

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Contact information

Main Address

35 Journal Square Suite 700, Jersey City, NJ 07036

Mailing Address

Phone number

(631) 403-5364

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TSG ALPHA PARTNERS - PRIVATE FUND BROCHURE (7/10/2025)

TSG ALPHA PARTNERS, LLC - FIRM BROCHURE (7/10/2025)

Regulatory assets under management

Total Number of Accounts	96
AUM (Assets Under Management)	$ 75,424,005

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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Steven A. Pusterla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TSG ALPHA PARTNERS, LLC

TSG CAPITAL ADVISORS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

TSG ALPHA PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2022

Series 63

Date: 3/16/2022

Series 7TO

Date: 12/17/2021

SIE

Date: 9/28/2020

Current Firm

TSG ALPHA PARTNERS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TSG ALPHA PARTNERS, LLC

TRUST BUT VERIFY

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