NS
Nick E. Son
A.G.P. / ALLIANCE GLOBAL PARTNERS
New York, NY 10005
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CRD#: 1178523
NS
Professional summary
Nick Eugene Son is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in New York, New York.
Nick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Nick has worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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.
B. RILEY WEALTH INSURANCE CORP; INVESTMENT RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE SALES; INSURANCE AGENT; START DATE 01/2020; 10 HRS/MONTH, DURING TRADING HOURS; PROVIDE INSURANCE PRODUCTS TO CLIENTS...
CRS (Client Relationship Summary) - RIA
Click below to view Nick Eugene Son's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nick Eugene Son'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 31, 2025 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 40 Wall Street, New York, NY 10005RIA
BD
CRD#: 8361
New York, NY
Current
March 31, 2025 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 40 Wall Street, New York, NY 10005RIA
BD
CRD#: 8361
New York, NY
Past
July 22, 2022 - April 15, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
New York, NY
Past
February 18, 2020 - April 15, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
New York, NY
Past
January 2, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
September 11, 2014 - January 14, 2020
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
March 29, 2012 - September 8, 2014
ALEXANDER CAPITAL, L.P.
BD
CRD#: 40077
RED BANK, NJ
Past
December 15, 2011 - June 14, 2012
WTS PROPRIETARY TRADING GROUP LLC
BD
CRD#: 148117
NEW YORK, NY
Past
March 29, 2010 - April 8, 2011
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
July 5, 2002 - March 29, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
NEW YORK, NY
Past
June 1, 2001 - July 8, 2002
DPEC CAPITAL, INC.
BD
CRD#: 103737
NEW YORK, NY
Past
July 2, 1998 - May 31, 2001
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
May 9, 1997 - August 6, 1997
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
September 30, 1996 - May 14, 1997
BLUESTONE CAPITAL CORP.
BD
CRD#: 13516
NEW YORK, NY
Past
December 5, 1995 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
BD
CRD#: 13685
NEW YORK, NY
Past
October 1, 1993 - December 5, 1995
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
January 24, 1992 - October 13, 1993
POLARIS FINANCIAL SERVICES, INC.
BD
CRD#: 14521
CONCORD, NH
Past
March 31, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
March 31, 1990 - February 4, 1992
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
August 31, 1983 - January 23, 1990
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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
Alabama(3/31/2025)
RR
Arizona(4/28/2025)
RR
California(4/1/2025)
RR
Colorado(3/31/2025)
RR
Connecticut(3/31/2025)
RR
District of Columbia(3/31/2025)
RR
Florida(4/1/2025)
RR
Georgia(4/1/2025)
RR
Idaho(3/31/2025)
RR
Illinois(5/12/2025)
RR
Indiana(3/31/2025)
RR
Iowa(4/4/2025)
RR
Kansas(3/31/2025)
RR
Louisiana(3/31/2025)
RR
Maryland(4/3/2025)
RR
Massachusetts(4/1/2025)
RR
Michigan(3/31/2025)
RR
Minnesota(4/18/2025)
RR
Mississippi(3/31/2025)
RR
Nebraska(4/23/2025)
RR
Nevada(3/31/2025)
RR
New Jersey(3/31/2025)
RR
New Mexico(4/4/2025)
RR
New York(3/31/2025)
IAR
New York(3/31/2025)
RR
North Carolina(3/31/2025)
RR
North Dakota(3/31/2025)
RR
Ohio(3/31/2025)
RR
Oklahoma(3/31/2025)
RR
Pennsylvania(3/31/2025)
RR
Rhode Island(4/15/2025)
RR
South Carolina(3/31/2025)
RR
South Dakota(4/17/2025)
RR
Texas(3/31/2025)
RR
Utah(3/31/2025)
RR
Virginia(3/31/2025)
RR
West Virginia(3/31/2025)
RR
Wisconsin(4/17/2025)
RR
Wyoming(3/31/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
