ST
Stephen M. Tomkins
A.G.P. / ALLIANCE GLOBAL PARTNERS
Holmdel, NJ 07733
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CRD#: 1971624
ST
Stephen Michael TomkinsA.G.P. / ALLIANCE GLOBAL PARTNERS
Professional summary
Stephen Michael Tomkins, who also goes by Steve Tomkins, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Holmdel, New Jersey.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Steve Tomkins
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.
FOR NJSIAA, I PLAN ON UMPIRING OR REFERRING BASEBALL AND FOOTBALL GAMES. THE GAMES WILL BE IN MONMOUTH COUNTY AND WILL NOT BE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Tomkins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Tomkins'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
August 4, 2026 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 2137 Route 35 Suite 345, Holmdel, NJ 07733RIA
BD
CRD#: 8361
Holmdel, NJ
Current
August 4, 2026 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 2137 Route 35 Suite 345, Holmdel, NJ 07733RIA
BD
CRD#: 8361
Holmdel, NJ
Past
April 4, 2016 - August 7, 2026
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
NEW YORK, NY
Past
April 4, 2016 - August 7, 2026
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
January 10, 2006 - April 6, 2016
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
RED BANK, NJ
Past
November 24, 2000 - April 6, 2016
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
RED BANK, NJ
Past
June 30, 1995 - November 27, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 20, 1990 - July 7, 1995
PRIME CHARTER LTD.
BD
CRD#: 25668
NEW YORK, NY
Past
November 1, 1989 - August 23, 1990
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
August 4, 1989 - September 12, 1989
COMMONWEALTH ASSOCIATES
BD
CRD#: 20833
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
Arizona(8/4/2026)
RR
California(8/4/2026)
RR
Colorado(8/4/2026)
RR
Connecticut(8/4/2026)
RR
Florida(8/4/2026)
RR
Georgia(8/4/2026)
RR
Maryland(8/4/2026)
RR
New Jersey(8/4/2026)
IAR
New Jersey(8/4/2026)
RR
New York(8/4/2026)
IAR
New York(8/4/2026)
RR
Pennsylvania(8/4/2026)
RR
Wyoming(8/4/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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 | 18 |
| 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.
