Alfonso G. Figliolia

CORNERSTONE PROFESSIONAL ADVISOR SERVICES

Garden City, NY 11530

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CRD#: 863524

Professional summary

Alfonso George Figliolia is a registered financial advisor currently at CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC located in Garden City, New York.

Alfonso is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Alfonso has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 3, Series 7, Series 24 and Series 12 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.

(1)CORNERSTONE PROFESSIONAL ADVISOR SERVICE 9 ENDO BLVD GARDEN CITY, NY 11530 LLC RIA INSURANCE AGENCY TITLE: PARTNER/OWNER PERCENT OF TIME: 100% IN CONJUNCTION WITH SA Stone Wealth Management ACTIVITIES COMPENSATION: FEES (2) Business Name: FINRA Arbitrator Business Address: 9 Endo Blvd Garden City, NY 11530 Nature of Business: Arbitrator Investment Related: Yes Business Position, Title or Association: Arbitrator #A13769 BUsiness Duties: Hear and decide disputes Business Start Date: 1995 Approximate Hours Devoted to Business: 1 - 2 cases a year Approximate Hours Devoted to Business during Market Hours: 16 to 24 Hours 3) Cornerstone Professional Advisor Services, LLC 9 Endo Blvd Garden City, NJ 11530 Nature of Business: Expert Witness/Consultant Investment Related: Yes Duties: Review statements, write analysis of findings, testify at hearing if needed. Approximate Hours Devoted to Business: 5 - 10 hours per year Approximate Hours Devoted During Market Hours: None

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfonso George Figliolia's CRS (Customer Relationship Summary).

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

June 18, 2004 - Present

CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC

Office #1: 9 Endo Blvd., Garden City, NY 11530

RIA

CRD#: 115122

Garden City, NY

Past

September 12, 2014 - May 1, 2019

STONEX SECURITIES INC.

CRD#: 18456

GARDEN CITY, NY

Past

August 8, 2002 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

GARDEN CITY, NY

Past

July 6, 2001 - August 13, 2002

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WANTAGH, NY

Past

July 6, 2001 - August 13, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

February 23, 2000 - July 5, 2001

MACKEN SECURITIES, INC.

CRD#: 13390

ROSEVILLE, CA

Past

October 17, 1994 - February 22, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 12, 1994 - October 19, 1994

WESTCO INVESTMENT CORP.

CRD#: 20744

LYNBROOK, NY

Past

June 15, 1993 - October 7, 1994

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

May 10, 1991 - June 17, 1993

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

WEST LONG BRANCH, NJ

Past

November 9, 1990 - January 22, 1991

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

October 13, 1986 - November 23, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 31, 1980 - October 30, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

March 12, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

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".

CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC

CRD#: 115122 / SEC#: 801-61925

RIA

Registered Investment Advisory firm - (7/26/2002 Approved)

California

Registered Investment Advisory firm - (11/15/2002 Terminated)

Illinois

Registered Investment Advisory firm - (11/15/2002 Terminated)

New York

Registered Investment Advisory firm - (9/5/2002 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(7/14/2004)

IAR

New York
(11/29/2022)

IAR

Texas
(6/18/2004)

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 66

Date: 2/2/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/20/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 12/8/1982

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 8/24/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/20/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 7/26/1979

NYSE Branch Manager Examination

Current Firm

CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC

CRD#: 115122 / SEC#: 801-61925

RIA

Registered Investment Advisory firm - (7/26/2002 Approved)

California

Registered Investment Advisory firm - (11/15/2002 Terminated)

Illinois

Registered Investment Advisory firm - (11/15/2002 Terminated)

New York

Registered Investment Advisory firm - (9/5/2002 Terminated)

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Contact information

Main Address

9 Endo Blvd., Garden City, NY 11530

Mailing Address

Phone number

(516) 408-1160

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2B - CPASLLC - MARCH 20, 2025 (3/21/2025)

FORM ADV, PART 2A - CPASLLC - MARCH 20, 2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	452
AUM (Assets Under Management)	$ 88,740,867

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Alfonso G. Figliolia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfonso George Figliolia's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

MACKEN SECURITIES, INC.

SECURITIES AMERICA, INC.

WESTCO INVESTMENT CORP.

DIME SECURITIES, INC.

INVESTMENT ADVISORS & CONSULTANTS, INC.

GLEACHER & COMPANY SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/2/2001

Series 63

Date: 10/20/1980

SIE

Date: 10/1/2018

Series 15

Date: 12/8/1982

Series 3

Date: 8/24/1982

Series 7

Date: 1/20/1979

Series 24

Date: 12/16/1994

Series 12

Date: 7/26/1979

Current Firm

CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC

TRUST BUT VERIFY

Contact information

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