CG
Charles H. Garrido
A.G.P. / ALLIANCE GLOBAL PARTNERS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1191231
CG
Professional summary
Charles Henry Garrido, who also goes by Charles Henry Garrido Jr, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Chicago, Illinois.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Charles has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 3, Series 15, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Henry Garrido Jr
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.
1. GARRIDO WEALTH MANAGEMENT - I am the only employee and my address is 555 W Cornelia Ave, Apt 1311, Chicago, IL 60657. I am the sole proprietor and this all started in August 2011. Currently inactive. 2. FAF Foundation - This is a 501(c)3 charitable organization where I am president. It has no employees and no compensation is paid to anyone. The only expenses are financial registrations and tax filings. This was started in 2016 and I spend 1 hour a month on all facets of this charity. 3. RAICES - This is a 501(c)3 charitable organization, located in San Antonio TX involved in asylum and migrant advocacy; I am Secretary of the Board and Chair of the Finance Committee, started 2/2023; 4-8 hours per month devoted, 4-6 hours per year during securities trading hours; provide advice and recommendation to the Finance Committee and on occasion the Board of Directors. 4. Life Insurance sales in the state of Indiana ONLY, investment-related, working with general agent, start date May 2025, 4 hours/month, during securities trading hours 5. Author, in early stages - outlining and working with ghostwriter on 2 books, one covering growing up Cuban and the other a financial guide covering terms/strategies; start date July 2025; spending approximately 16 hours/month, none during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Henry Garrido's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Henry Garrido'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
October 30, 2018 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 200 W Jackson Blvd Suite 2850, Chicago, IL 60606RIA
BD
CRD#: 8361
Chicago, IL
Current
October 30, 2018 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 200 W Jackson Blvd Suite 2850, Chicago, IL 60606RIA
BD
CRD#: 8361
Chicago, IL
Past
August 16, 2011 - October 30, 2018
MCDONALD PARTNERS LLC
RIA
CRD#: 135414
CHICAGO, IL
Past
August 16, 2011 - October 30, 2018
MCDONALD PARTNERS LLC
BD
CRD#: 135414
CHICAGO, IL
Past
January 22, 2004 - August 15, 2011
SANCTUARY SECURITIES, INC.
RIA
CRD#: 205
CHICAGO, IL
Past
January 21, 2004 - August 15, 2011
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
CHICAGO, IL
Past
January 20, 1999 - February 3, 2004
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
INDIANAPOLIS, IN
Past
June 25, 1996 - February 3, 2004
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
December 1, 1987 - July 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
February 4, 1986 - December 16, 1987
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
October 20, 1983 - July 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(10/30/2018)
RR
California(10/30/2018)
RR
District of Columbia(10/30/2018)
RR
Florida(10/30/2018)
RR
Georgia(10/31/2018)
RR
Illinois(10/31/2018)
IAR
Illinois(10/31/2018)
RR
Indiana(10/31/2018)
RR
Kentucky(11/1/2018)
RR
Massachusetts(2/1/2019)
RR
Michigan(11/30/2023)
RR
Minnesota(4/22/2019)
RR
New Jersey(2/28/2024)
RR
New York(10/30/2018)
RR
Ohio(10/30/2018)
RR
Oregon(10/30/2018)
RR
South Carolina(12/4/2018)
RR
Tennessee(9/20/2024)
RR
Texas(10/30/2018)
IAR
Texas(9/6/2024)
RR
Virginia(10/30/2018)
RR
Wisconsin(10/30/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/10/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/9/1986
General Securities Sales Supervisor Examination (Options Module & General Module)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.
