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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2025-02-26 |
| AZ | RA | APPROVED | 2024-09-17 |
| FL | RA | APPROVED | 2024-09-06 |
| IL | RA | APPROVED | 2024-09-06 |
| CA | RA | APPROVED | 2024-09-05 |
| CT | RA | APPROVED | 2024-09-05 |
| NY | RA | APPROVED | 2024-09-05 |
| NC | RA | APPROVED | 2024-09-05 |
| NJ | RA | APPROVED | 2021-06-04 |
| TX | RA | APPROVED_RES | 2021-05-24 |
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 | 12/2014 | 05/2021 |
| A.G.P. / Alliance Global Partners | Holmdel | NJ | 05/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-31 |
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