DG
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
123 advisors
Number of Clients
5,849 clients
Average Client Portfolio
$289K average
Assets Under Management
$1.7B
Fee Structure
A.G.P. charges fees based on a percentage of assets under management, which are negotiable and range up to 3%. These fees are payable quarterly in advance. Financial planning services are charged on an hourly basis. A.G.P. also sponsors a Wrap Fee Program with fees ranging up to 2%.
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & Coaching
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Advisor Information
Office location
40 Wall Street, New York, NY, 10005
Get directionsRegulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
April 2024Customer Dispute
December 2016Denied
Employment Separation After Allegations
May 2015Customer Dispute
April 2009Closed-No Action
Employment History
Current Registrations
A.G.P / Alliance Global Partners
April 2021 - Present · 4 yrs 9 mos
A.G.P. / Alliance Global Partners Broker
March 2021 - Present · 4 yrs 10 mos
Previous Registrations
Aegis Capital CORP.
July 2015 - March 2021 · 5 yrs 8 mos
Aegis Capital CORP. Broker
July 2015 - March 2021 · 5 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2006 - May 2015 · 9 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
January 2006 - May 2015 · 9 yrs 4 mos
State Registrations7 states
CACTFLMDNJNMNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.