CL
Christopher C. Laffey
ALEXANDER CAPITAL, L.P.
Red Bank, NJ 07701
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CRD#: 859962
CL
Professional summary
Christopher Charles Laffey is a registered financial professional currently at ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1978. Christopher has worked at 10 firms and has passed the Series 63, SIE and Series 7 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 Christopher Charles Laffey'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
December 16, 2015 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701BD
CRD#: 40077
Red Bank, NJ
Past
October 13, 2015 - December 16, 2015
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
MORRISTOWN, NJ
Past
November 15, 2001 - October 15, 2015
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
MORRISTOWN, NJ
Past
June 26, 2001 - October 30, 2001
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
March 1, 1995 - June 25, 2001
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
June 10, 1992 - March 8, 1995
SCHRODER & CO. INC.
BD
CRD#: 6112
NEW YORK, NY
Past
September 2, 1983 - May 27, 1992
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
January 31, 1980 - September 23, 1983
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
Past
November 27, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
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(2/6/2020)
RR
Arizona(12/12/2019)
RR
California(12/16/2015)
RR
Colorado(7/16/2019)
RR
Connecticut(12/21/2015)
RR
Florida(12/16/2015)
RR
Georgia(12/16/2015)
RR
Illinois(2/5/2020)
RR
Indiana(2/7/2020)
RR
Kentucky(2/5/2020)
RR
Louisiana(10/5/2022)
RR
Massachusetts(1/1/2016)
RR
Michigan(6/14/2021)
RR
Minnesota(2/7/2020)
RR
New Hampshire(6/17/2020)
RR
New Jersey(12/21/2015)
RR
New Mexico(2/7/2020)
RR
New York(12/16/2015)
RR
North Carolina(12/16/2015)
RR
Pennsylvania(12/16/2015)
RR
Rhode Island(12/16/2015)
RR
South Carolina(12/16/2016)
RR
Texas(12/18/2015)
RR
Vermont(2/10/2020)
RR
Virginia(7/9/2020)
RR
Washington(6/2/2020)
RR
Wisconsin(10/6/2022)
RR
Wyoming(6/11/2020)
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.
