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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-05-21 |
| TX | RA | APPROVED_RES | 2021-05-19 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aegis Capital Corp | Holmdel | NJ | 01/2015 | 05/2021 |
| A.G.P. / Alliance Global Partners | Holmdel | NJ | 05/2021 | Present |
1) ROMANO CASTELLUM LLC., 9 ARUBA CT TOMS RIVER, NJ 08757; INVESTMENT RELATED; CONSULTING AND MARKETING, INSURANCE GROUP BENEFITS; START DATE: 1/15/2021; 10 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 2) RIVA POINT TRUCKING LLC, NOT INV RELATED, 9 ARUBA CT., TOMS RIVER NJ 08757, TRUCKING BUSINESS, PARTNER, ACCOUNTING FINANCE DUTIES, 11/17/22, 1 HOUR A MONTH NON TRADING. 3) First Light Recovery Network, LLC, non-investment related, 195 State Rt 36, West Long Branch, NJ, detox and inpatient addiction recovery, co-owner, August 2023, 0 hours during securities trading hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-11 |
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