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Prashant Nagindas Mody

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
NY RA APPROVED 2021-09-07
NJ RA APPROVED 2021-02-10
TX RA APPROVED_RES 2021-02-09
  • NY RA
    APPROVED
    Since 2021-09-07
  • NJ RA
    APPROVED
    Since 2021-02-10
  • TX RA
    APPROVED_RES
    Since 2021-02-09

Branch Locations

40 Wall Street, New York, NY 10005 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Aegis Capital Corp. New York NY 11/2011 02/2021
A.G.P. / Alliance Global Partners New York NY 02/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-05-10
S63 Uniform Securities Agent State Law Examination 2000-01-18
  • S65 Uniform Investment Adviser Law Examination
    2012-05-10
  • S63 Uniform Securities Agent State Law Examination
    2000-01-18

View on SEC IAPD

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