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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-09-06 |
| NY | RA | APPROVED | 2021-09-08 |
| NJ | RA | APPROVED | 2021-03-30 |
| TX | RA | APPROVED | 2021-03-26 |
Branch Locations
590 Madison Avenue 28Th Floor, New York, NY 10022 • United States
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 |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Montgomery | AL | 07/2015 | 06/2019 |
| A.G.P. / Alliance Global Partners | New York | NY | 03/2021 | Present |
| Stifel, Nicolaus & Company, Incorporated | New York | NY | 06/2019 | 03/2021 |
1. LAN CONSULTING LLC; 9129 BERRINGTON PLACE MONTGOMERY AL 36117; It is a sole propriatary LLC; partner; business consulting and development for local government and companies with Chinese businesses; affiliation started 04/15/2008; not investment related. Not currently engaged in this activity. 2. Hollywood Films 3.0, Non Investment Related, Los Angeles CA, Fil Production, Producer, 10 Hours mo. Non Trading Production and Promotion
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-20 |
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