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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-09-05 |
| NY | RA | APPROVED | 2021-09-08 |
| CA | RA | APPROVED | 2019-05-02 |
Branch Locations
88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aegis Capital Corp. | New York | NY | 03/2010 | 05/2019 |
| A.G.P. / Alliance Global Partners | Westport | CT | 05/2019 | Present |
| A.G.P. Canada Investments Ulc | Burlington, Ontario | 07/2022 | Present |
1) K CAPITAL MARKETS LLC-CT, 106 HEMING WAY, STAMFORD, CT 06903; OWNER, NOT INVESTMENT RELATED, ESTABLISHED FOR TAX PURPOSES ; START 11/13/2006, TOTAL HRS MO. 1, DUTIES: PAYING BILLS & TAX PURPOSES ONLY 2. CAFE OOLALA, 2325 SUMMER ST, STAMFORD, CT 06905; CAFE OWNER, NOT INVESTMENT RELATED; START DATE: 02/14/2011; NO DUTIES; ZERO HOURS PER MONTH 3) USA WATER POLO, CWPA WATER POLO, 2124 MAINT ST. SUITE 240 HUNTINGTON BEACH CA 92648; REFEREE COLLEGE, HIGH SCHOOL AND CLUB GAMES; START DATE 3/15/2014, 10 HOURS PER MONTH DEVOTED TO BUSINESS DURING NON-SECURITIES TRADING HOURS, COMP RECEIVED $40 PER GAME. 4) KKS CORP DBA LIVE BETTER HOME CARE, 106 HEMING WAY, STAMFORD, CT 06903; NOT INVESTMENT RELATED; START DATE: 2015; 1 HR MO NON-TRADING HOURS FRANCHISE OWNER, NO DAILY RESPONSIBILITIES 5) A.G.P. CANADA, INVESTMENT RELATED; LOCATED IN CANADA; CORPORATION FOR CANADIAN REGISTRATIONS; Trader; START DATE 7-06-22; APPROXIMATELY 4 HOURS PER MONTH DEVOTED TO BUSINESS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-18 |
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