Curtis J. Reed
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.
Curtis John Reed was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1982. Curtis had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2019 - August 27, 2019
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 31, 2019 - August 27, 2019
A.G.P. / ALLIANCE GLOBAL PARTNERS
March 9, 2017 - February 22, 2019
AEGIS CAPITAL CORP.
March 9, 2017 - February 22, 2019
AEGIS CAPITAL CORP.
March 21, 2016 - March 3, 2017
FOUNDERS FINANCIAL SECURITIES LLC
March 21, 2016 - March 3, 2017
FOUNDERS FINANCIAL SECURITIES LLC
February 13, 2008 - February 2, 2016
HAPOALIM SECURITIES USA, INC.
June 28, 2006 - October 31, 2007
STERNE, AGEE & LEACH, INC.
May 19, 2006 - June 14, 2006
SAMCO CAPITAL MARKETS, INC.
July 15, 2004 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
January 2, 2001 - July 6, 2004
BELLE HAVEN INVESTMENTS, L.P.
April 6, 1998 - January 12, 2001
LEHMAN BROTHERS INC.
March 26, 1996 - March 25, 1998
BELLE HAVEN INVESTMENTS, L.P.
March 17, 1994 - February 12, 1996
J.P. MORGAN SECURITIES INC.
November 19, 1982 - March 9, 1994
SBC WARBURG DILLON READ INC.
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.
