CRD #40077 · FINRA BrokerCheck + SEC IAPD

Alexander Capital, L.P.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Alexander Capital, L.P. ranks #950 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #19 of 114 on the same disclosure sort used on the state browse page. Alexander Capital, L.P. carries 7 BrokerCheck disclosures across 13 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
13
branch offices
7
disclosures
#950 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 40077 Alexander Capital, L.P.

Alexander Capital, L.P. · Grade B · 7 disc · 0.54/office · Regional firm

  • CRD 40077
  • GRADE B
  • DISC 7
  • REG 6
  • ARB 1
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.54
  • RANK #950 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Leerink Partners LLC (0.55 disc/office)

Leerink Partners LLC0.55Guggenheim Securities, LLC0.53Smith, Moore & Co.0.56Alexander Capital, … (this)0.54
Disclosures per office among regional firm peers (lower is cleaner)

Alexander Capital, L.P. ranks #950 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.54 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

13 offices

FINRA: Small firm

Total disclosures

7 events

On FINRA BrokerCheck

Regulatory events

6 actions

86% of all disclosures

Disclosures per office

0.54 per office

7 ÷ 13 offices

Alexander Capital, L.P. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 6
Arbitrations 1
Civil Events 0
Total 7

Counts for Alexander Capital, L.P. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 6 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Red Bank, NJ
CRD Number
40077

Regulator-heavy mix

Alexander Capital, L.P. in the heavier-disclosure third

Alexander Capital, L.P. carries 7 BrokerCheck disclosures across 13 branch offices - a heavier-third raw book among graded firms (#950 of 20,055). Regulator-initiated events are 86% of the book (6 regulatory / 1 arbitration / 0 civil).

86% of Alexander Capital, L.P.'s 7 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Alexander Capital, L.P.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 0.54× state average

Alexander Capital, L.P. tracks near the New Jersey disclosure average

Alexander Capital, L.P. reports 7 BrokerCheck disclosures, about 0.54× the New Jersey average of 12.9 across 114 graded firms.

In New Jersey, 50 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Alexander Capital, L.P. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Alexander Capital, L.P. ranks #950 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #19 of 114 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Alexander Capital, L.P.?
A grade of B reflects Alexander Capital, L.P.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 7 total disclosures across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Alexander Capital, L.P. have?
Alexander Capital, L.P. has 7 total FINRA disclosures, including 6 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Alexander Capital, L.P.?
Alexander Capital, L.P. operates 13 branch offices and is classified by FINRA as a small firm, registered in NJ (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Alexander Capital, L.P.'s disciplinary record?
You can verify Alexander Capital, L.P.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40077. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Alexander Capital, L.P.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Alexander Capital, L.P. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Alexander Capital, L.P. carries 7 disclosures across 13 branch offices (about 0.54 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Alexander Capital, L.P., both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Leerink Partners LLC (MA) - 0.55 disclosures/office, nearest regional firm peer to Alexander Capital, L.P.'s 0.54
  • Guggenheim Securities, LLC (NY) - 0.53 disclosures/office, nearest regional firm peer to Alexander Capital, L.P.'s 0.54
  • Smith, Moore & Co. (MO) - 0.56 disclosures/office, nearest regional firm peer to Alexander Capital, L.P.'s 0.54
  • Firms in NJ - state roster that includes Alexander Capital, L.P.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Alexander Capital, L.P..
  • Reading BrokerCheck Reports - How Alexander Capital, L.P.'s 0.54 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Alexander Capital, L.P..
  • Compare firms - put Alexander Capital, L.P. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.