Aditya Kumar Saraogi

Current Employers

A.G.P. / Alliance Global Partners

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-09-04
FL	RA	APPROVED	2022-11-14
TX	RA	APPROVED	2022-11-11

NY RA
APPROVED

Since 2024-09-04
FL RA
APPROVED

Since 2022-11-14
TX RA
APPROVED

Since 2022-11-11

Branch Locations

Miami, FL • United States

Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431 • United States

Disclosures

1 disclosure category 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 No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Miami	FL	08/2015	11/2022
Alliance Global Partners	Miami	FL	11/2022	Present

08/2015 → 11/2022

Ameriprise Financial Services, Inc.

Miami, FL
11/2022 → Present

Alliance Global Partners

Miami, FL

Previous Registrations

2015-09-01 → 2022-11-11

Ameriprise Financial Services, Llc

Hallandale Beach, FL

Other Businesses

Real Estate Ownership; Lot/Land; Orlando; Not Investment Related; June 2008. Business Ownership; Choice One Financial LLC; Preident; Set up this company to pay for business expenses for tax reasons; Miami, FL 33131; Not Investment Related; June 2009; 1-9 hours per month; 0 during trading hours. Outside Employment; IFB Agro Industries Limited; Consulatant; Consulting; Kolkata 700107, India; Not Investment Related; Aug 2017; 10-19 hours per month; 1-9 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-05-27
S63	Uniform Securities Agent State Law Examination	2002-01-29

S66 Uniform Combined State Law Examination

2017-05-27
S63 Uniform Securities Agent State Law Examination

2002-01-29

View on SEC IAPD