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Ronald J Holtz

A.G.P. / Alliance Global Partners

Westport, CT

New York, NY

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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
CT RA APPROVED 2021-11-29
  • CT RA
    APPROVED
    Since 2021-11-29

Branch Locations

88 Post Road West 2Nd Floor, Westport, CT 06880 • UNITED STATES

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
Lpl Financial Llc Orange CT 10/2015 04/2017
Webster Bank Orange CT 10/2015 04/2017
Oppenheimer & Co. Inc. Stamford CT 04/2017 07/2018
Edward Jones St. Louis MO 09/2018 11/2021
Alliance Global Partners Westport CT 11/2021 Present
  • 10/2015 → 04/2017
    Lpl Financial Llc
    Orange, CT
  • 10/2015 → 04/2017
    Webster Bank
    Orange, CT
  • 04/2017 → 07/2018
    Oppenheimer & Co. Inc.
    Stamford, CT
  • 09/2018 → 11/2021
    Edward Jones
    St. Louis, MO
  • 11/2021 → Present
    Alliance Global Partners
    Westport, CT
Previous Registrations
  • 2018-09-28 → 2021-11-29
    Edward Jones
    Norwalk, CT
  • 2017-04-10 → 2018-07-06
    Oppenheimer & Co. Inc.
    Stamford, CT
  • 2015-10-07 → 2017-05-02
    Lpl Financial Llc
    New Haven, CT
    Danbury, CT
    Danbury, CT
    New Haven, CT
    Orange, CT
    Bridgeport, CT
    Trumbull, CT
    Stratford, CT
    Monroe, CT
    Watertown, CT
  • 2013-01-23 → 2015-10-02
    Osaic Institutions, Inc.
    Monroe, CT
    Meriden, CT
    Monroe, CT
  • 2011-06-22 → 2013-01-03
    Gilford Financial Corp.
    New York, NY
  • 2010-05-17 → 2010-07-19
    Chicago Investment Group Advisors, Llc
    Chicago, IL
  • 2007-05-29 → 2010-06-10
    Citigroup Global Markets Inc.
    New York, NY
    New York, NY
    New York, NY
    New York, NY
  • 2006-10-03 → 2007-05-29
    Citicorp Investment Services
    New York, NY
  • 2004-03-02 → 2006-10-05
    Citigroup Global Markets Inc.
    Columbus, OH
    Columbus, OH
  • 2002-06-19 → 2004-03-01
    Morgan Stanley Dw Inc.
    Columbus, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-04
S63 Uniform Securities Agent State Law Examination 1995-10-30
  • S65 Uniform Investment Adviser Law Examination
    1995-11-04
  • S63 Uniform Securities Agent State Law Examination
    1995-10-30
Other Names
  • Ronald Jack Holtz
  • Ronald J Holtz

View on SEC IAPD

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QUORUS INC. · WESTPORT, CT
DIVYDE CAPITAL PARTNERS L.P. · WESTPORT, CT
MORGAN STANLEY · Westport, CT
EQUITABLE ADVISORS, LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
PARK AVENUE SECURITIES LLC · WESTPORT, CT

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