A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC of WESTPORT, CT is an SEC-registered investment adviser (CRD 8361). Regulatory assets under management: $2.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Phillip William Michals | CHIEF EXECUTIVE OFFICER; PARTNER | — |
| Raffaele Gambardella | COO/CHIEF RISK OFFICER; PARTNER | — |
| Thomas Joseph Higgins | PRINCIPAL OPERATIONS OFFICER | — |
| Anthony Joseph Lauriello | MUNICIPAL SECURITIES PRINCIPAL | — |
| John Joseph Venezia | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | — |
| Craig Erin Klein | CFO, PRINCIPAL FINANCIAL OFFICER | — |
| David Arthur Bocchi | TRUSTEE | — |
| PERICH JOSE LUIS | CCO FOR RIA | — |
| KLEIN CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | — |
| SCHIFF PETER DAVID | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL; CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL; CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL, FINANCIAL & OPERATIONS PRINCIPAL (+3 more) | — |
| DECKER ROBERT HENRY | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER FOR BROKER DEALER; CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY (+2 more) | — |
| FUSILLO ELENA | CCO FOR THE INVESTMENT ADVISOR; REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | — |
| HAMILTON CANDACE CAROLE | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | — |
| MCBEAN WILLIAM GORDON | PRESIDENT | — |
| HIGGINS THOMAS JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER; PRINCIPAL OPERATIONS OFFICER | — |
| VENEZIA JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER; CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | — |
| CARROLL WILLIAM | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER | — |
| DOUGLASS CANDACE CAROLE | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | — |
| GAMBARDELLA RAFFAELE | CFO AND CHIEF RISK OFFICER; COO/CHIEF RISK OFFICER; PARTNER | — |
| MICHALS PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER; PARTNER | — |
| CALICCHIO ALPHONSE JOHN III | CHIEF OPERATING OFFICER | — |
| LAURIELLO ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | — |
| BOCCHI DAVID ARTHUR | TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DID NOT FILE, OR FILED UNTIMELY OR INACCURATE, NOTIFICATIONS WITH FINRA IN CONNECTION WITH ITS PARTICIPATION IN 47 DISTRIBUTIONS OF SECURITIES SUBJECT TO REGULATION M UNDER THE SECURIT… | Final | $88K |
| 2025-12-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED NASDAQ RULE EQUITY 2, SECTION 10(E) AND ITS PREDECESSOR, NASDAQ RULE 4619(E),1 AND NASDAQ RULE GENERAL 9, SECTION 1(A) BY FAILING TO FILE, OR FILING UNTIMELY, RESTRICTED PERIO… | Final | $57K |
| 2025-11-25 | regulatory | AGP FAILED TO REPORT TO THE SUPERINTENDENT OF NY DEPARTMENT OF FINANCIAL SERVICES WITHIN 30 DAYS OF THE FINAL DISPOSITION OF THE MATTER, AN ADMINISTRATIVE ACTION BROUGHT BY THE INSURANCE COMMISSIONER OF THE STATE OF CALIFORNIA IN VIOLATION OF SECTION 2110(I) OF NY INSURANCE LAW; FROM APRIL 2019 TO S… | Final | $8K |
| 2024-10-16 | regulatory | THE SEC ALLEGED THAT BETWEEN FEBRUARY 2019 AND FEBRUARY 2021, THE FIRM PUBLISHED QUOTES ON A DAILY BASIS FOR BETWEEN 4,300 AND 6,500 DIFFERENT MUNICIPAL BONDS AT ABOVE-MARKET PRICES FOR A CUSTOMER THAT WAS A SOPHISTICATED MUNICIPAL MARKET PROFESSIONAL, WITHOUT INDEPENDENTLY EVALUATING THE FAIR MARKE… | Final | $100K |
| 2022-05-13 | regulatory | DEFAULT ORDER INDICATING FIRM HAD VIOLATED SECTIONS 1668(B), 1668(E), 1668(H), AND 1668(J) OF CALIFORNIA INSURANCE CODE. | Final | — |
| 2019-04-11 | regulatory | WHILE UNDER PRIOR OWNERSHIP AS EURO PACIFIC CAPITAL IN JANUARY 2016, A CORPORATE CUSTOMER WAS ALLEGED TO HAVE BEEN CHARGED $6,000 FOR FILING A FORM 211 IN VIOLATION OF FINRA RULE 5250 AND 2010. | Final | $10K |
| 2018-05-21 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, APPLICANT CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO MAINTAIN A CONTINUOUS TWO-SIDED TRADING INTEREST DURING REGULAR MARKET HOURS, AT PRICES WITHIN CERTAIN PERCENTAGES AWAY FROM THE NATIONAL BEST BID OR OFFER (NBBO). THE FINDI… | Final | $13K |
| 2015-04-30 | regulatory | EURO PACIFIC FAILED TO PAY PENALTY OF $1625.00 TO NEW HAMPSHIRE FOR LATE FINANCIAL STATEMENTS | Final | $1K |
| — | criminal | — | — | — |