PM
Paul E. Morris
A.G.P. / ALLIANCE GLOBAL PARTNERS
New York, NY 10022
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CRD#: 1002507
PM
Professional summary
Paul Esdaile Morris, who also goes by Paul Esdalle Morris, is a registered financial professional currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1983. Paul has worked at 15 firms and has passed the Series 63, Series 22TO, SIE, Series 79, Series 7 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul Esdalle Morris
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Paul Esdaile Morris's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 5, 2018 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 590 Madison Avenue 28th Floor, New York, NY 10022RIA
BD
CRD#: 8361
New York, NY
Past
October 12, 2012 - February 20, 2018
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
November 18, 2011 - August 2, 2012
WHARTON CAPITAL MARKETS LLC
BD
CRD#: 44632
NORTH HILLS, NY
Past
June 8, 1998 - May 30, 2001
ARJENT LTD.
BD
CRD#: 35909
NEW YORK, NY
Past
July 24, 1996 - May 21, 1998
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, NY
Past
September 12, 1994 - June 12, 1996
BURNHAM SECURITIES INC.
BD
CRD#: 22549
NEW YORK, NY
Past
February 19, 1992 - August 18, 1994
FAB SECURITIES OF AMERICA, INC.
BD
CRD#: 28212
NEW YORK, NY
Past
December 8, 1986 - January 6, 1992
BAIRD, PATRICK & CO., INC.
BD
CRD#: 1149
FAIRFIELD, NJ
Past
January 29, 1986 - July 22, 1987
STEINBERG & LYMAN
BD
CRD#: 15704
Past
January 24, 1985 - January 1, 1986
VANDERBILT SECURITIES, INC.
BD
CRD#: 14280
Past
October 16, 1984 - August 20, 1986
BARRON, MARSHALL & KAMEN CO., INC.
BD
CRD#: 2390
Past
January 30, 1984 - September 28, 1984
MONVEST SECURITIES, INC.
BD
CRD#: 14013
Past
December 28, 1983 - February 1, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
BD
CRD#: 5359
Past
May 17, 1983 - June 14, 1983
BUCKINGHAM SECURITIES, LTD.
BD
CRD#: 10570
Past
April 19, 1983 - September 21, 1983
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/4/2018)
RR
Connecticut(10/4/2018)
RR
Florida(12/12/2018)
RR
New Jersey(1/4/2019)
RR
New York(3/14/2018)
RR
Texas(10/5/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
88 Post Road West 2nd Floor, Westport, CT 06880
Mailing Address
88 Post Road West 2nd Floor, Westport, CT 06880
Phone number
(203) 662-9700
Established
New York since 07/06/2022
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
320
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
