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Employer firm

A.g.p. / Alliance Global Partners CRD 8361

$2.30B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

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

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-10-14
  • TX RA
    APPROVED
    Since 2020-10-14

Branch Locations

Scottsdale, AZ • 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
Emerson Equity Llc San Mateo CA 11/2018 10/2020
Pelorus Jack Capital San Francisco CA 01/2017 06/2018
Unemployed Burlingame CA 04/2016 12/2016
Oceanic Partners Sausalito CA 11/2018 10/2020
Unemployed Burlingame CA 07/2018 10/2018
A.G.P. / Alliance Global Partners New York NY 10/2020 Present
  • 11/2018 → 10/2020
    Emerson Equity Llc
    San Mateo, CA
  • 01/2017 → 06/2018
    Pelorus Jack Capital
    San Francisco, CA
  • 04/2016 → 12/2016
    Unemployed
    Burlingame, CA
  • 11/2018 → 10/2020
    Oceanic Partners
    Sausalito, CA
  • 07/2018 → 10/2018
    Unemployed
    Burlingame, CA
  • 10/2020 → Present
    New York, NY
Other Businesses

Headwall Private Markets. 1160 Battery Street East, Suite 100 San Francisco, CA 94010. ENTITY USED TO MARKET SECURITIES RELATED BUSINESS WHICH IS EXECUTED THROUGH A.G.P./Alliance Global Investment related, Pre-IPO equity, Managing Director (Headwall), 9/2020, 50 hours/week, I am working during all securities trading hours. Broker and SPV provider for Pre-IPO companies.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-27
S63 Uniform Securities Agent State Law Examination 2003-09-29
  • S66 Uniform Combined State Law Examination
    2018-12-27
  • S63 Uniform Securities Agent State Law Examination
    2003-09-29

View on SEC IAPD

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