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Hal William Brown

A.G.P. / Alliance Global Partners

New York, NY

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Current Employers
A.G.P. / Alliance Global Partners

88 Post Road West 2Nd Floor, Westport, CT 06880 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-01-28
NY RA APPROVED 2025-01-24
  • NJ RA
    APPROVED
    Since 2025-01-28
  • NY RA
    APPROVED
    Since 2025-01-24

Branch Locations

590 Madison Avenue 28Th Floor, New York, NY 10022 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Maxim Group Llc New York NY 08/2016 Present
Maxim Financial Advisors New York NY 06/2017 01/2025
Alliance Global Partners New York NY 01/2025 Present
  • 08/2016 → Present
    Maxim Group Llc
    New York, NY
  • 06/2017 → 01/2025
    Maxim Financial Advisors
    New York, NY
  • 01/2025 → Present
    Alliance Global Partners
    New York, NY
Previous Registrations
  • 2017-10-16 → 2025-02-21
    Maxim Financial Advisors Llc
    New York, NY
  • 2015-01-21 → 2016-08-12
    B. Riley Wealth Management
    New York, NY
    New York, NY
  • 2006-06-20 → 2015-01-28
    Dominick & Dickerman Llc
    Old Greenwich, CT
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-29
S63 Uniform Securities Agent State Law Examination 1988-04-04
  • S65 Uniform Investment Adviser Law Examination
    2021-11-29
  • S63 Uniform Securities Agent State Law Examination
    1988-04-04

View on SEC IAPD

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