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Marcus Berger

A.G.P. / ALLIANCE GLOBAL PARTNERS
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 19136
MB

Professional summary

Marcus Berger, who also goes by Marc Berger, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Boca Raton, Florida.

Marcus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Marcus has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Marc Berger

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)BEAVER POND MEADOWS/JIMMY PEAK;NO;HANCOCK, MA 01237;RENTAL PROPERTY;OWNER;1995;1/0;MAINTAIN PROPERTY,COLLECT RENT AND PAY BILLS. 2) MKB ASSOCIATES INC. POSITION: president and owner NATURE: sub chapter S INVESTMENT RELATED: Yes NUMBER OF HOURS: 55 SECURITIES TRADING HOURS: 26 START DATE: 04/01/1990 ADDRESS: 19861 PLANTERS BLVD, APT D, Boca Raton FL 33434, United States DESCRIPTION: Manage and direct all security business as well as insurance, annuities and alternative products 3)INDEPENDENT INSURANCE AGENT;YES;1979 MARCUS AVE STE 210, LAKE SUCCESS, NY 11042;FIXED INSURANCE;INDEPENDENT INSURANCE AGENT;05/26/2016;160/160;SELL OF FIXED INSURANCE PRODUCTS. 4) AMERICAN PORTFOLIOS ADVISORS, INC. RIA. FEE BASED ADVISORY BUSINESS. START DATE, UPON AFFILIATION WITH APFS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcus Berger's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Marcus Berger's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 30, 2025 - Present

A.G.P. / ALLIANCE GLOBAL PARTNERS

Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431
RIA
BD
CRD#: 8361
Boca Raton, FL
Current

June 6, 2025 - Present

A.G.P. / ALLIANCE GLOBAL PARTNERS

Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431
RIA
BD
CRD#: 8361
Boca Raton, FL
Past

October 11, 2024 - June 10, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
Boca Raton, FL
Past

October 11, 2024 - June 10, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
Boca Raton, FL
Past

December 9, 2016 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA
CRD#: 112697
HOLBROOK, NY
Past

December 9, 2016 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
Boca Raton, FL
Past

May 26, 2016 - December 31, 2016

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
LAKE SUCCESS, NY
Past

January 10, 2008 - December 31, 2011

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
LAKE SUCCESS, NY
Past

November 10, 2006 - May 31, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LAKE SUCCESS, NY
Past

April 17, 1995 - November 14, 2006

AEGIS CAPITAL CORP.

BD
CRD#: 15007
VALLEY STREAM, NY
Past

May 14, 1990 - April 19, 1995

SECO WEST LIMITED

BD
CRD#: 7637
WILLIAMSVILLE, NY
Past

December 19, 1975 - June 14, 1990

WOODMERE SECURITIES, INC.

BD
CRD#: 6702
HEWLETT, NY
Past

April 12, 1973 - January 18, 1976

BACHE & CO INCORPORATED

BD
CRD#: 7058

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
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
(6/6/2025)
IAR
Florida
(6/30/2025)
RR
Massachusetts
(6/6/2025)
RR
New Jersey
(8/11/2025)
RR
New York
(6/6/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/28/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/12/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 4/9/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 4/4/1977
Registered Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

A.G.P. / ALLIANCE GLOBAL PARTNERS
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A.G.P. PART 2A DISCLOSURE BROCHURE (10/30/2025)
A.G.P. WRAP FEE PROGRAM BROCHURE (10/30/2025)

Direct owners and executive officers

NamePositionCRD#
ALLIANCE GLOBAL HOLDINGS, INC.HOLDING COMPANY
GAMBARDELLA, RAFFAELECOO/CHIEF RISK OFFICER2448073
HIGGINS, THOMAS JOSEPHPRINCIPAL OPERATIONS OFFICER1477505
KLEIN, CRAIG ERINCFO, PRINCIPAL FINANCIAL OFFICER3253836
LAURIELLO, ANTHONY JOSEPHMUNICIPAL SECURITIES PRINCIPAL1086881
MICHALS, PHILLIP WILLIAMCHIEF EXECUTIVE OFFICER2414124
VENEZIA, JOHN JOSEPHCHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA2737135

Regulatory assets under management

Total Number of Accounts6,959
AUM (Assets Under Management)$ 2,300,125,872

Disclosures

Regulatory Event15
Arbitration3

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

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD#: 8361Boca Raton, FL 33431

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Contact information

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