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Current Employers
A.G.P. / Alliance Global Partners

88 Post Road West 2Nd Floor, Westport, CT 06880 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-09-06
CA RA APPROVED 2024-09-05
NJ RA APPROVED 2021-08-09
TX RA APPROVED_RES 2021-07-26
NY RA APPROVED 2021-07-23
  • FL RA
    APPROVED
    Since 2024-09-06
  • CA RA
    APPROVED
    Since 2024-09-05
  • NJ RA
    APPROVED
    Since 2021-08-09
  • TX RA
    APPROVED_RES
    Since 2021-07-26
  • NY RA
    APPROVED
    Since 2021-07-23

Branch Locations

590 Madison Avenue 28Th Floor, New York, NY 10022 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Aegis Capital Corp New York NY 12/2015 07/2021
A.G.P. / Alliance Global Partners New York NY 07/2021 Present
Previous Registrations
  • 2016-03-15 → 2021-08-09
    New York, NY
    New York, NY
    New York, NY
  • 2014-03-04 → 2015-12-22
    New York, NY
  • 2010-04-05 → 2014-04-01
    New York, NY
  • 2009-03-05 → 2010-03-18
    Msi Financial Services, Inc.
    New York, NY
  • 2007-08-29 → 2009-03-03
    Eastbrook Capital Group Llc
    New York, NY
Other Businesses

1)CRAZMINDS LLC; CONSUMER PRODUCTS, MEMBER; STARTED 2012; 10 HOURS PER MONTH DEVOTED TO BUSINESS DURING NON-SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-10-16
S63 Uniform Securities Agent State Law Examination 1996-07-25
  • S65 Uniform Investment Adviser Law Examination
    2008-10-16
  • S63 Uniform Securities Agent State Law Examination
    1996-07-25

View on SEC IAPD

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