Victoria A. Orcutt
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.
Victoria Ann Orcutt, who also goes by VIctoria Ann Dow, Victoria Orcutt, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1984. Victoria had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 22, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2010 - October 15, 2014
A.G.P. / ALLIANCE GLOBAL PARTNERS
June 18, 2008 - October 15, 2014
A.G.P. / ALLIANCE GLOBAL PARTNERS
September 11, 2006 - April 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2006 - April 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1997 - April 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 1994 - September 30, 1996
OSAIC WEALTH, INC.
April 21, 1994 - May 9, 1994
TRIPLE CHECK FINANCIAL SERVICES, INC.
November 6, 1989 - July 23, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 6, 1989 - July 23, 1990
PRUCO SECURITIES, LLC.
December 3, 1985 - June 8, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 1985 - August 22, 1985
GFC SECURITIES CORPORATION
September 10, 1984 - April 19, 1985
BRETCOURT SECURITIES CORPORATION
March 26, 1984 - September 4, 1984
CRESCENT SECURITIES CORPORATION
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
Current 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.
