Christopher L. Monahan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Lowry Monahan, who also goes by Chris Monahan, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1984. Christopher had worked at 10 firms and has passed the Series 66, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - May 20, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
November 19, 2012 - May 20, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
May 2, 2011 - October 18, 2011
VFINANCE INVESTMENTS, INC
July 14, 2010 - April 11, 2011
MILLER TABAK + CO., LLC
January 1, 2008 - July 9, 2010
HUDSON SECURITIES,INC.
June 21, 2004 - January 3, 2006
ACCESS SECURITIES, LLC
March 31, 2004 - June 21, 2004
HUDSON SECURITIES,INC.
July 9, 2003 - March 30, 2004
UPHOLD SECURITIES INC.
June 30, 2000 - August 30, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
April 10, 1998 - February 3, 2000
UBS CAPITAL MARKETS L.P.
August 22, 1996 - March 13, 1998
CREDIT SUISSE SECURITIES (USA) LLC
March 16, 1995 - August 12, 1996
SOUNDVIEW TECHNOLOGY CORPORATION
March 18, 1985 - February 28, 1995
UBS CAPITAL MARKETS L.P.
January 7, 1984 - February 4, 1985
LANG AND COMPANY
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 2/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
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.
