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JOSEPH ANTHONY AMATO
CRD#: 2751635
IA
Investment Adviser
B
Broker Regulated by FINRA
ALEXANDER CAPITAL, L.P.CRD#: 40077 10 DRS JAMES PARKER BLVD, SUITE 202
RED BANK, NJ 07701
+1
Registration History
199820002002200420062008201020122014201620182020202220242026IAALEXANDER CAPITAL WEALTH MANAG... (CRD# 157714)2021 - Present (3 years)BALEXANDER CAPITAL, L.P. (CRD# 40077)2013 - Present (12 years)BNETWORK 1 FINANCIAL SECURITIES... (CRD# 13577)2016 - 2019 (2 years)BALEXANDER CAPITAL, L.P. (CRD# 40077)2012 - 2012 (<1 year)BLEGEND SECURITIES, INC. (CRD# 44952)2008 - 2012 (4 years)BGUNNALLEN FINANCIAL, INC (CRD# 17609)2004 - 2008 (3 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2002 - 2004 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2002 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 2000 (3 years)IAGUNNALLEN FINANCIAL, INC (CRD# 17609)2006 - 2008 (1 year)
Disclosure(s)
View By:
5/4/2022
Customer Dispute
Pending
License(s)

State Registrations

B
Arizona

B
New Hampshire

B
California

B
New Jersey

B
Florida

B
New York

B
Iowa

IA
New York

B
Maryland

B
Pennsylvania

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
ALEXANDER CAPITAL, L.P. (CRD#:40077)
10 DRS JAMES PARKER BLVD, SUITE 202, RED BANK, NJ 07701
Registered with this firm since 1/2/2013

IA
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC (CRD#:157714)
5379 Arthur Kill Road, 2nd Floor, Staten Island, NY 10307
Registered with this firm since 4/18/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/01/2016 - 05/14/2019 NETWORK 1 FINANCIAL SECURITIES INC. (CRD#:13577) New York, NY
B
03/29/2012 - 12/20/2012 ALEXANDER CAPITAL, L.P. (CRD#:40077) NEW YORK, NY
B
03/31/2008 - 04/24/2012 LEGEND SECURITIES, INC. (CRD#:44952)
FINRA expelled the firm on 04/17/2017
NEW YORK, NY
IA
07/10/2006 - 04/10/2008 GUNNALLEN FINANCIAL, INC (CRD#:17609) STATEN ISLAND, NY
B
06/18/2004 - 04/10/2008 GUNNALLEN FINANCIAL, INC (CRD#:17609) STATEN ISLAND, NY
B
09/12/2002 - 06/21/2004 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ST. PETERSBURG, FL
B
10/11/2000 - 09/17/2002 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
09/18/1997 - 10/09/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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