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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2025-07-14 |
| AL | RA | APPROVED | 2025-07-11 |
| VA | RA | APPROVED | 2025-07-11 |
| SC | RA | APPROVED | 2024-09-12 |
| NC | RA | APPROVED | 2023-08-02 |
| TX | RA | APPROVED | 2023-08-02 |
Branch Locations
2137 Route 35 Suite 345, Holmdel, NJ 07733 • United States
700 East Blvd Unit 3, Charlotte, NC 28203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Charlotte | NC | 01/2012 | 08/2023 |
| Alliance Global Partners | New York | NY | 08/2023 | Present |
1.FINRA; 1735 K Street, Washington DC 20006; ARBITRATOR; INVESTMENT RELATED; START DATE 08/05/1992; 1 hour per year. 2. SAINT NICHOLAS SOCIETY OF THE CITY OF NEW YORK; 2207 SHARON RD CHARLOTTE NC 28207; GENEOLOGY SOCIETY IN SUPPORT THE HISTORY OF NEW YORK; BOARD OF MANAGERS; AFFILIATION STARTED 05/28/2015; 2 HOURS PER QUARTER; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 3. dba Van Pelt & Company, 700 E Blvd, Suite 3, Charlotte NC 28213, investment-related, 9/15/25
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-03 |
| S65 | Uniform Investment Adviser Law Examination | 1995-09-19 |
| S63 | Uniform Securities Agent State Law Examination | 1980-01-23 |
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