Eugene C. Flynn

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CRD#: 210342

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Eugene Charles Flynn was a registered financial professional .

Eugene is a previously registered financial professional and started their career in finance in 1969. Eugene had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 19, 2021 - May 24, 2022

A.G.P. / ALLIANCE GLOBAL PARTNERS

RIA

CRD#: 8361

New York, NY

Past

July 16, 2021 - May 24, 2022

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD#: 8361

New York, NY

Past

August 13, 2012 - July 21, 2021

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

August 10, 2012 - July 21, 2021

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

NEW YORK, NY

Past

July 10, 2012 - August 20, 2012

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEW YORK, NY

Past

August 6, 2010 - August 20, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 17, 2007 - August 13, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

July 31, 1993 - August 30, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 26, 1979 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 18, 1978 - November 26, 1979

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

September 17, 1973 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

March 11, 1969 - August 18, 1973

SHEARSON, HAMMILL & CO., INCORPORATED

CRD#: 766

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

CRD#: 8361 / SEC#: 801-70276, 8-25132

RIA

Registered Investment Advisory firm - SEC (6/15/2009 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/5/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/21/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 1/31/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 3/7/1969

Registered Representative Examination

Current Firm

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD#: 8361 / SEC#: 801-70276, 8-25132

RIA

Registered Investment Advisory firm - SEC (6/15/2009 Approved)

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)

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

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.

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Firm Stability Insights

Eugene C. Flynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

A.G.P. / ALLIANCE GLOBAL PARTNERS

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

LOEB PARTNERS

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

SHEARSON, HAMMILL & CO., INCORPORATED

Primary Firm SEC Registration

A.G.P. / ALLIANCE GLOBAL PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/5/2012

Series 63

Date: 4/21/1981

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 15

Date: 1/31/1984

Series 5

Date: 10/17/1981

PC

Date: 9/7/1977

Series 1

Date: 3/7/1969

Current Firm

A.G.P. / ALLIANCE GLOBAL PARTNERS

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

A.G.P. / ALLIANCE GLOBAL PARTNERS

TRUST BUT VERIFY

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