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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-02-05 |
| TX | RA | APPROVED_RES | 2021-01-21 |
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. | New York | NY | 03/2010 | 01/2021 |
| A.G.P. / Alliance Global Partners | Holmdel | NJ | 01/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-07-31 |
| S66 | Uniform Combined State Law Examination | 2000-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-28 |
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