HS
Hemant P. Singh
A.G.P. / ALLIANCE GLOBAL PARTNERS
Rochelle Park, NJ 07662
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CRD#: 1823977
HS
Professional summary
Hemant Pal Singh, who also goes by Hp Singh, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Rochelle Park, New Jersey.
Hemant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Hemant has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hp Singh
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) SECURITIES AND ADVISORY BUSINESS CONDUCTED UNDER DBA OF KS CAPITAL MANAGMENT, INC. 2) ACC CORP. 1305 WALT WHITMAN RD. SUITE 120 MELVILLE, NY 11747; INVESTMENT RELATED; INSURANCE GENERAL AGENCY, PRODUCER/AGENT; START DATE: 07/24/2020; 5-10 HOURS PER MONTH DEVOTED TO BUSINESS; 5-10 HOURS DURING SECURITIES TRADING HOURS. 3) KS INSURANCE SERVICES, 365 W PASSAIC ST., SUITE 275 ROCHELLE PARK, NJ 07662; INVESTMENT RELATED; INSURANCE GENERAL AGENCY; OWNER, PRODUCER; START DATE 07/02/2021; 2 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Hemant Pal Singh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hemant Pal Singh'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
November 30, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 365 W Passaic Street Ste #275, Rochelle Park, NJ 07662RIA
BD
CRD#: 8361
Rochelle Park, NJ
Current
November 30, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 365 W Passaic Street Ste #275, Rochelle Park, NJ 07662RIA
BD
CRD#: 8361
Rochelle Park, NJ
Past
January 24, 2017 - December 22, 2023
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
Rochelle Park, NJ
Past
January 24, 2017 - December 22, 2023
AEGIS CAPITAL CORP.
BD
CRD#: 15007
Rochelle Park, NJ
Past
July 3, 2012 - February 17, 2017
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
PARAMUS, NJ
Past
April 12, 2012 - February 17, 2017
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
PARAMUS, NJ
Past
October 3, 2008 - April 12, 2012
OSAIC FS, INC.
BD
CRD#: 3870
NEW YORK, NY
Past
December 18, 2006 - October 14, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEW YORK, NY
Past
June 1, 2005 - December 19, 2006
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
NEW YORK, NY
Past
January 4, 1999 - June 2, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
July 31, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
March 22, 1993 - August 4, 1995
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
December 6, 1989 - March 19, 1993
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
June 21, 1988 - December 20, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
California(11/30/2023)
IAR
California(12/1/2023)
RR
Connecticut(12/1/2023)
IAR
Connecticut(12/1/2023)
RR
Florida(11/30/2023)
IAR
Florida(12/4/2023)
RR
Maine(11/30/2023)
RR
Missouri(11/30/2023)
IAR
Missouri(11/30/2023)
RR
New Jersey(11/30/2023)
IAR
New Jersey(12/1/2023)
RR
New York(11/30/2023)
IAR
New York(12/3/2023)
IAR
North Carolina(11/30/2023)
RR
Rhode Island(5/1/2024)
RR
Virginia(11/30/2023)
IAR
Virginia(11/30/2023)
RR
Wyoming(11/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/29/1996
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.
