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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
FL RA APPROVED 2024-09-06
NY RA APPROVED 2021-09-07
NJ RA APPROVED 2021-03-31
TX RA APPROVED_RES 2021-03-16
  • FL RA
    APPROVED
    Since 2024-09-06
  • NY RA
    APPROVED
    Since 2021-09-07
  • NJ RA
    APPROVED
    Since 2021-03-31
  • TX RA
    APPROVED_RES
    Since 2021-03-16

Branch Locations

40 Wall Street, New York, NY 10005 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Aegis Capital Corp New York NY 07/2015 03/2021
A.G.P. / Alliance Global Partners New York NY 03/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-07-08
S63 Uniform Securities Agent State Law Examination 2001-06-06
  • S65 Uniform Investment Adviser Law Examination
    2004-07-08
  • S63 Uniform Securities Agent State Law Examination
    2001-06-06
Designations

View on SEC IAPD

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