KK
Kayvan Karoon
A.G.P. / ALLIANCE GLOBAL PARTNERS
Rochelle Park, NJ 07662
Some features on this profile are disabled
CRD#: 2142567
KK
Professional summary
Kayvan Karoon, who also goes by Kevin Karoon, Keyvan Karoon, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Rochelle Park, New Jersey.
Kayvan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Kayvan has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Karoon | Keyvan Karoon
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.
KS CAPITAL MANAGEMENT INC,INVESTMENT RELATED, 365 W. PASSAIC ST. STE. 275 ROCHELLE PARK, NJ 07662, DBA THRU AEGIS CAPITAL CORP,PRESIDENT,START DATE 04/2012,40-50 HOURS/MONTH DURING TRADING HOURS, MANAGE CLIENT'S ACCOUNTS
CRS (Client Relationship Summary) - RIA
Click below to view Kayvan Karoon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kayvan Karoon'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
November 30, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 365 W Passaic Street Ste #275, Rochelle Park, NJ 07662RIA
BD
CRD#: 8361
Rochelle Park, NJ
Current
November 30, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 365 W Passaic Street Ste #275, Rochelle Park, NJ 07662RIA
BD
CRD#: 8361
Rochelle Park, NJ
Past
January 23, 2017 - December 22, 2023
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
Rochelle Park, NJ
Past
January 23, 2017 - December 22, 2023
AEGIS CAPITAL CORP.
BD
CRD#: 15007
Rochelle Park, NJ
Past
April 10, 2012 - February 17, 2017
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
PARAMUS, NJ
Past
April 4, 2012 - February 17, 2017
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
PARAMUS, NJ
Past
September 30, 2008 - April 13, 2012
OSAIC FS, INC.
RIA
CRD#: 3870
PARAMUS, NJ
Past
September 5, 2008 - April 13, 2012
OSAIC FS, INC.
BD
CRD#: 3870
PARAMUS, NJ
Past
March 8, 2006 - October 3, 2008
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PARAMUS, NJ
Past
August 18, 2005 - October 3, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PARAMUS, NJ
Past
January 10, 2001 - August 24, 2005
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
February 9, 1999 - December 31, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
May 22, 1997 - January 28, 1999
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
March 4, 1997 - May 8, 1997
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
September 21, 1995 - March 4, 1997
AMERICORP SECURITIES, INC.
BD
CRD#: 30405
NEW YORK, NY
Past
March 24, 1994 - September 29, 1995
T.R. WINSTON & COMPANY, LLC
BD
CRD#: 10571
BEDMINSTER, NJ
Past
November 8, 1991 - March 31, 1994
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
May 20, 1991 - November 22, 1991
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
Alabama(12/22/2023)
RR
California(12/1/2023)
RR
Colorado(4/30/2025)
RR
Connecticut(12/1/2023)
RR
Florida(12/4/2023)
IAR
Florida(12/4/2023)
RR
Georgia(11/30/2023)
RR
Hawaii(9/20/2024)
RR
Idaho(11/14/2024)
RR
Minnesota(12/26/2023)
RR
Nevada(11/30/2023)
RR
New Jersey(11/30/2023)
IAR
New Jersey(12/1/2023)
RR
New York(11/30/2023)
IAR
New York(12/3/2023)
RR
North Carolina(1/2/2024)
RR
North Dakota(11/30/2023)
RR
Ohio(10/21/2025)
RR
Tennessee(11/30/2023)
IAR
Wisconsin(11/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
