ML
Marc L. Lowell
A.G.P. / ALLIANCE GLOBAL PARTNERS
Boca Raton, FL 33431
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CRD#: 1866525
ML
Professional summary
Marc Layne Lowell is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Boca Raton, Florida.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Marc has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.
1. A.I.D. WEALTH MANAGEMENT - Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431- Full scope financial planning (DBA for wealth management business)- President/Owner- Start date 4/1/14 - As DBA used during normal working and trading hours. 2. THE A.I.D. GROUP - Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431-Full scope financial planning (DBA for wealth management business)- President/Owner- Started 03/16/2018 - As DBA used during normal working and trading hours. 3. ADVISORS ISURANCE DESIGN GROUP - Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431-Full scope financial planning (DBA for wealth management business)- President/Owner - Started 05/20/2019 - As DBA used during normal working and trading hours. - Life insurance and other fixed Insurance product sales. 4. THE 401(K)OMPANY - Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431-Full scope financial planning and 401k Management (DBA for wealth management business)- President/Owner - Start Date: 08/01/2018 - As DBA used during normal working and trading hours. 5. DYNAMIC LIFE INSURANCE STRATEGIES LLC (DBA Lowell-Newman) 2700 Military Trail, Suite 230, Boca Raton, FL 33431-Full scope financial planning and 401k Management (DBA for wealth management business)- President/Owner - Start Date: 02/08/2021- As DBA used during normal working and trading hours. 6. WHISKEY HILL LODGE, LLC - Investment Related - Avon Colorado 81620 & Vail, Colorado - Real Estate Rental Property- Started 06/15/2021 - Whiskey Hill Lodge, LLC owns a house in Vail, Colorado. 7. GOODMAN JFS- Non-Investment Related- 5890 S. Pine Island Road #201 Davie FL 33328- Started 2017-Charity-Board Member-1HR per month non trading 8. LOWELL FINANCIAL INC.- Investment Related- 1180 N Federal Highway Unit 706 Ft Lauderdale FL 33304- Operating Company-President/Owner-Started 11/25/2002-Zero Hours- Established to coordinate business activities
CRS (Client Relationship Summary) - RIA
Click below to view Marc Layne Lowell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc Layne Lowell'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 9, 2022 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431RIA
BD
CRD#: 8361
Boca Raton, FL
Current
November 18, 2021 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431RIA
BD
CRD#: 8361
Boca Raton, FL
Past
February 15, 2018 - November 12, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
FT LAUDERDALE, FL
Past
February 14, 2018 - November 12, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
FT LAUDERDALE, FL
Past
March 1, 2012 - February 15, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
FT LAUDERDALE, FL
Past
February 24, 2012 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
FT LAUDERDALE, FL
Past
June 6, 2011 - January 18, 2012
FMSBONDS, INC.
BD
CRD#: 7793
NORTH MIAMI BEACH, FL
Past
October 15, 2010 - July 26, 2011
MIDDLEBURY SECURITIES LLC
BD
CRD#: 122602
BOCA ROUTON, FL
Past
March 3, 2010 - July 23, 2010
ATLANTIC COAST SECURITIES CORPORATION
BD
CRD#: 20826
TAMPA, FL
Past
October 18, 2002 - February 17, 2010
ARGENTUS SECURITIES, LLC
BD
CRD#: 45915
WESTON, FL
Past
May 15, 2002 - October 24, 2002
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
June 30, 1999 - June 4, 2002
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
January 23, 1994 - June 30, 1999
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
July 16, 1992 - December 31, 1993
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
August 20, 1990 - June 3, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 20, 1990 - June 3, 1992
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
Florida(3/9/2022)
IAR
Florida(3/9/2022)
RR
New Jersey(7/26/2022)
RR
New York(11/18/2021)
IAR
Texas(9/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361Boca Raton, FL 33431TRUST BUT VERIFY
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