JC
John W. Catalfio
A.G.P. / ALLIANCE GLOBAL PARTNERS
Scottsdale, AZ 85260
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CRD#: 2092083
JC
Professional summary
John William Catalfio is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Scottsdale, Arizona.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John William Catalfio's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John William Catalfio'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 26, 2010 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 9375 E. Shea Blvd, Suite 100, Scottsdale, AZ 85260RIA
BD
CRD#: 8361
Scottsdale, AZ
Current
January 7, 2004 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 9375 E. Shea Blvd, Suite 100, Scottsdale, AZ 85260RIA
BD
CRD#: 8361
Scottsdale, AZ
Past
February 8, 2000 - June 4, 2002
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
SCOTTSDALE, AZ
Past
April 30, 1997 - February 16, 2000
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
February 16, 1996 - April 29, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
July 23, 1993 - February 20, 1996
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
October 16, 1990 - July 30, 1993
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
Alaska(1/24/2017)
RR
Arizona(1/8/2004)
IAR
Arizona(3/26/2010)
RR
California(1/8/2004)
IAR
California(9/5/2024)
RR
Colorado(7/16/2004)
IAR
Connecticut(9/5/2024)
RR
Florida(1/22/2004)
IAR
Florida(9/6/2024)
RR
Hawaii(2/13/2004)
RR
Idaho(9/14/2004)
RR
Indiana(2/26/2004)
RR
Louisiana(12/18/2008)
RR
Massachusetts(5/3/2007)
RR
Michigan(4/20/2004)
RR
Minnesota(4/28/2005)
RR
Missouri(8/2/2006)
RR
Montana(9/10/2004)
RR
Nebraska(5/20/2009)
RR
Nevada(4/1/2004)
IAR
New Jersey(9/5/2024)
RR
New Mexico(7/8/2005)
RR
New York(2/1/2017)
IAR
New York(9/5/2024)
RR
North Carolina(2/24/2004)
IAR
North Carolina(9/5/2024)
RR
Ohio(11/25/2005)
RR
Oklahoma(11/20/2008)
RR
Oregon(2/20/2004)
RR
Pennsylvania(7/29/2020)
RR
South Carolina(12/5/2008)
RR
South Dakota(1/23/2017)
RR
Tennessee(6/25/2004)
RR
Texas(1/29/2004)
IAR
Texas(5/17/2013)
RR
Utah(8/1/2006)
RR
Vermont(4/26/2006)
RR
Washington(9/10/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
