RV
Richard W. Vincent
A.G.P. / ALLIANCE GLOBAL PARTNERS
Boca Raton, FL 33431
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CRD#: 1091826
RV
Professional summary
Richard William Vincent is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Boca Raton, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
McIlvain-Vincent Real Estate Group LLC / LLC for rental property / Proprietor / owner / Rental LLC / Start Date 7/1/2019 - no property held at this time
CRS (Client Relationship Summary) - RIA
Click below to view Richard William Vincent's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard William Vincent'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
February 26, 2020 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431RIA
BD
CRD#: 8361
Boca Raton, FL
Current
February 24, 2020 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431RIA
BD
CRD#: 8361
Boca Raton, FL
Past
May 4, 2010 - March 6, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FLORHAM PARK, NJ
Past
April 30, 2010 - March 6, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FLORHAM PARK, NJ
Past
June 1, 2009 - May 27, 2010
MORGAN STANLEY
RIA
CRD#: 149777
FLORHAM PARK, NJ
Past
June 1, 2009 - May 27, 2010
MORGAN STANLEY
BD
CRD#: 149777
FLORHAM PARK, NJ
Past
January 5, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FLORHAM PARK, NJ
Past
November 18, 2005 - December 8, 2005
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FLORHAM PARK, NJ
Past
November 18, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FLORHAM PARK, NJ
Past
April 15, 2003 - December 2, 2005
OPPENHEIMER ASSET MANAGEMENT
RIA
CRD#: 105559
NEW YORK, NY
Past
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
FLORHAM PARK, NJ
Past
January 3, 2003 - November 22, 2005
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
June 24, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
RIA
CRD#: 630
NEW YORK, NY
Past
August 8, 1995 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
March 14, 1983 - August 18, 1995
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 1, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(2/24/2020)
RR
California(2/25/2020)
RR
Colorado(3/4/2020)
RR
Connecticut(2/24/2020)
RR
Delaware(3/10/2020)
RR
District of Columbia(7/22/2021)
RR
Florida(2/24/2020)
IAR
Florida(5/4/2022)
RR
Georgia(3/3/2020)
RR
Illinois(5/26/2020)
RR
Indiana(3/9/2020)
RR
Iowa(2/24/2020)
RR
Kansas(11/25/2024)
RR
Maryland(2/24/2020)
RR
New Jersey(3/3/2020)
IAR
New Jersey(9/19/2024)
RR
New York(2/24/2020)
IAR
New York(9/5/2024)
RR
North Carolina(2/24/2020)
RR
Ohio(2/24/2020)
RR
Pennsylvania(3/6/2020)
RR
South Carolina(3/11/2020)
RR
Tennessee(2/20/2025)
RR
Texas(2/24/2020)
IAR
Texas(2/26/2020)
RR
Vermont(2/24/2020)
RR
Virginia(3/4/2020)
RR
Washington(2/24/2020)
Exams
State Security Law Exam
State Security Law 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.
Company Information
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361Boca Raton, FL 33431TRUST BUT VERIFY
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